SRO Rules definition

SRO Rules means the by-laws, regulations, rules, policies, forms and regulatory notices and directives of the SRO in effect from time to time, provided that no amendment, addition or deletion in respect of the SRO Rules shall affect the rights and obligations of the Lender hereunder until 90 days after the effective date of the same or such earlier time as the Lender may agree.
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SRO Rules means the rules of a recognised self-regulating organisation;
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SRO Rules means the by-laws, regulations, rules, forms and regulatory notices and directions of the SRO in effect from time to time.
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Examples of SRO Rules in a sentence

  • These include the reporting, recordkeeping, auditing, and compliance requirements of, to the extent applicable, the Bank Secrecy Act (“BSA”), as amended by the International Money Laundering Abatement and Financial Anti-Terrorism Act of 2002, Title III of the USA PATRIOT Act (“Patriot Act”), its implementing regulations, and related SEC and SRO Rules.

  • Subject to the preceding sentence, this Agreement is intended to be interpreted in accordance with and be consistent with the SRO Rules.

  • This Agreement and all transactions made in My Account shall be governed by the laws of the State of New York (regardless of the choice of law rules thereof), except to the extent governed by federal securities law, the Federal Arbitration Act, SRO Rules, and to the constitution, rules, regulations, customs and usage of the exchanges or market (and its clearing house) where executed.

  • The Lender and the Member may from time to time enter into a Loan Commitment to be evidenced by a Confirmation substantially in the form of Schedule I hereto to provide a Loan for the purpose of financing the underwriting by the Member of new or secondary issues of securities in circumstances where a new issue letter under SRO Rules may allow a reduction of capital or margin requirements for the Member.

  • The rules outlining the selection and replacement of the Standard Reference Obligation are contained within the SRO Rules.

  • This Agreement and all transactions made in My Account are governed by the laws of the State of North Carolina (regardless of the choice of law rules thereof), except to the extent governed by federal securities law, the Federal Arbitration Act, SRO Rules, and to the constitution, rules, regulations, customs and usage of the exchanges or market (and its clearing house) where executed.

  • This Agreement and the Combination shall have been approved by the stockholders of Paul-Son in the manner required under the NRS, the articles of incorporation of Paul-Son and the applicable SRO Rules.

  • This Agreement and all transactions made in My Account are governed by the laws of the State of New York (regardless of the choice of law rules thereof), except to the extent governed by federal securities law, the Federal Arbitration Act, SRO Rules, and to the constitution, rules, regulations, customs and usage of the exchanges or market (and its clearing house) where executed.


More Definitions of SRO Rules

SRO Rules means rules made by an SRO under section 58; “takeover offer” has the meaning assigned to it in section 94(2);
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SRO Rules means rules made by an SRO under section 58;
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Related to SRO Rules

  • PPB Rules means the rules of the Procurement Policy Board as set forth in Title 9 of the Rules of the City of New York (“RCNY”), § 1-01 et seq.

  • FCA Rules means the Rules included within the FCA Handbook issued by the FCA.

  • SIFT Rules means the provisions of the Income Tax Act providing for a tax on certain income earned by a “SIFT trust” or “SIFT partnership” as those terms are defined in the Income Tax Act.

  • DOE Rules means DOE’s energy conservation regulations found in Title 10, Parts 429, 430, and 431 of the Code of Federal Regulations.

  • PRA Rules means the Rules included within the PRA handbook issued by the PRA.