Regulatory Supervising Organization definition

Regulatory Supervising Organization means any of (a) the SEC, (b) the Financial Industry Regulatory Authority, (c) the Chicago Stock Exchange, (d) the Commodity Futures Trading Commission, (e) state securities commissions, (f) the Irish Financial Regulator and (g) any other U.S. or foreign governmental or self-regulatory organization, exchange, clearing house or financial regulatory authority of which any Subsidiary is a member or to whose rules it is subject.
Regulatory Supervising Organization means as applicable, FINRA, the SEC or any governmental or self-regulatory organization, exchange, clearing house or financial regulatory authority of which any entity is a member or to whose rules or regulations it is subject.
Regulatory Supervising Organization means any of (a) the Commodity Futures Trading Commission, (b) the National Futures Association, (c) the SEC, (d) the National Association of Securities Dealers or (e) any governmental or regulatory organization, exchange, clearing house or financial regulatory authority of which a Regulated Subsidiary is a member or to whose rules it is subject.

Examples of Regulatory Supervising Organization in a sentence

  • Each Pledgor shall cooperate fully in obtaining the consent of FINRA and the approval or consent of each other Regulatory Supervising Organization required to effectuate the foregoing.

  • The uncertainty (95%confidence level) of the simulation results of nitrate concentrations due to the four hydrologic parameters and one chemical parameter was also very low and on average 0.12% of the monthly average nitrate concentration.

  • The Borrower will not permit any Designated Regulated Subsidiary to become subject to any injunction or agreement of any type, formal or informal, with any Governmental Authority or Regulatory Supervising Organization if the result thereof would be to prohibit the conduct of all or a material portion of the business of the Borrower and its Restricted Subsidiaries that, taken as a whole, could reasonably be expected to have a Material Adverse Effect.

  • As a consequence of these subordination provisions, if a Winding-up Proceeding (as defined in Condition 10.4(b)) should occur, the Noteholders, Receiptholder or Couponholder may recover less rateably than the holders of deposit liabilities or the holders of other unsubordinated liabilities of the Issuer.

  • As of the Closing Date, neither Holdings nor any of its Subsidiaries has received any extraordinary supervisory letter from, or adopted any resolutions at the request of, any Regulatory Supervising Organization or Governmental Authority charged with the supervision or regulation of any Subsidiary.


More Definitions of Regulatory Supervising Organization

Regulatory Supervising Organization means any of (a) the SEC, (b) FINRA, (c) the New York Stock Exchange, (d) state securities commissions and (e) any other U.S. or foreign governmental or self-regulatory organization, exchange, clearing house or financial regulatory authority of which the Issuer or any Restricted Subsidiary is a member or to whose rules it is subject.
Regulatory Supervising Organization means any of (i) the SEC, (ii) the Financial Industry Regulatory Authority, (iii) the Chicago Stock Exchange, (iv) the Commodity Futures Trading Commission, (v) state securities commissions, (vi) the Irish Financial Regulator and(vii) any other United States or foreign governmental or self-regulatory organization, exchange, clearing house or financial regulatory authority of which any Subsidiary is a member or to whose rules it is subject.
Regulatory Supervising Organization means any of (a) the SEC, (b) the Financial Industry Regulatory Authority, (c) the Chicago Stock Exchange,
Regulatory Supervising Organization means, as applicable, FINRA, the SEC or any
Regulatory Supervising Organization means any of (a) the SEC, (b) the Financial Industry Regulatory Authority, (c) the Chicago Stock Exchange, (d) the Commodity Futures Trading Commission, (e) state securities commissions, (f) the Irish
Regulatory Supervising Organization means any of (a) the Commodity Futures Trading Commission, (b) the National Futures Association,
Regulatory Supervising Organization means any of (i) the SEC, (ii)FINRA, (iii) the Commodity Futures Trading Commission, (iv) the National Futures Association, (v) state securities commissions, (vi) the Irish Financial Regulator and (vii) any other United States or foreign governmental or self-regulatory organization, exchange, clearing house or financial regulatory authority of which any Subsidiary is a member or to whose rules it is subject. “Related Business Assets” means assets (other than cash or Cash Equivalents) used or useful in a Permitted Business; provided that any assets received by the Issuer or a Restricted Subsidiary in exchange for assets transferred by the Issuer or a Restricted Subsidiary shall not be deemed to be Related Business Assets if they consist of securities of a Person, unless, upon receipt of such securities, such Person is engaged in a Permitted Business and such Person would become a Restricted Subsidiary. “Repo Agreement” means any (i) repurchase agreement, (ii) reverse repurchase agreement, (iii) sell buy backs and buy sell backs agreement, (iv) securities lending and borrowing agreement or (v) any other agreement or transaction similar to those referred to above in this definition. “Requirements of Law” means, with respect to any Person, any statutes, laws (common, statutory or otherwise), treaties, rules, regulations (including any official interpretations thereof), orders, decrees, writs, injunctions or determinations of any arbitrator or court or other Governmental Authority or