Enforcement Responsibilities definition

Enforcement Responsibilities means the conduct of appropriate proceedings, in accordance with FINRA’s Code of Procedure (the Rule 9000 Series) and other applicable FINRA procedural rules, to determine whether violations of Common Rules have occurred, and if such violations are deemed to have occurred, the imposition of appropriate sanctions as specified under FINRA’s Code of Procedure and sanctions guidelines.
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Enforcement Responsibilities means the conduct of appropriate proceedings, in accordance with the NASD Code of Procedure (the Rule 9000 Series) and other applicable NASD procedural rules, to determine whether violations of pertinent laws, rules or regulations have occurred, and if such violations are deemed to have occurred, the imposition of appropriate sanctions as specified under the NASD’s Code of Procedure and sanctions guidelines.
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Enforcement Responsibilities means the conduct of appropriate proceedings, in accordance with the FINRA Code of Procedure (the Rule 9000 Series) and other applicable FINRA procedural rules, to determine whether violations of pertinent laws, rules or regulations have occurred, and if such violations are deemed to have occurred, the imposition of appropriate sanctions as specified under the FINRA’s Code of Procedure and sanctions guidelines. Common Rules shall not include any provisions regarding (i) notice,reporting or any other filings made directly to or from GEMX, (ii) incorporation by reference of GEMX Rules that are not Common Rules, (iii) exercise of discretion in a manner that differs from FINRA’s exercise of discretion including, but not limited to exercise of exemptive authority by GEMX, (iv) prior written approval of GEMX and (v) payment of fees or fines to GEMX.
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Examples of Enforcement Responsibilities in a sentence

  • FINRA shall assume Regulatory Responsibilities and Enforcement Responsibilities for Dual Members.

  • Compliance and Enforcement Responsibilities of All FAA Employees .

  • It is characterized by extensive administrative requirements, paperwork and regulations that often seem dissociated with DOL’s mandate of providing assurance that American workers’ jobs are protected.” Consolidation of Labor’s Enforcement Responsibilities for the H-2A Program Could Better Protect U.S. Agricultural Workers, Report 04-98-004-03-321, Mar.

  • FINRA shall assume Regulatory Responsibilities and Enforcement Responsibilities for Common Members.

  • The studies noted in 3.6.1 above differ from the present study in that they all focus on whole populations of parents (that is they included both those who have accepted and those who have not yet accepted the offer of MMR) rather than focussing on those who had persistently declined the offer of immunisation.

  • Enforcement Responsibilities of the Office) Statute: 20 U.S.C. 1232g(a)(1)(A) and(B) provides that no funds shall be made available under any program administered by the Secretary to an educational agency or institution or an SEA that has a policy of denying or effectively prevents parents from exercising their right to inspect and review the student’s education records.

  • See U.S. Department of Labor, Office of Inspector General, Consolidation of Labor’s Enforcement Responsibilities for the H-2A Program Could Better Protect U.S. Agricultural Workers, Report Number 04-98-004-03-321, Mar.

  • The term ‘‘Regulatory Responsibilities’’ shall also include the surveillance, investigation and Enforcement Responsibilities relating to compliance by Common Members with Rule 14e–4 of the Securities Exchange Act (‘‘Rule 14e–4’’), with a focus on the standardized call option provision of Rule 14e–4(a)(1)(ii)(D).

  • There shall be no charge to MEMX by FINRA for performing the Regulatory Responsibilities and Enforcement Responsibilities under this Agreement except as otherwise agreed by the parties, either herein or in a separate agreement.

  • There shall be no charge to NSX by FINRA for performing the Regulatory Responsibilities and Enforcement Responsibilities under this Agreement except as hereinafter provided.

Related to Enforcement Responsibilities

  • Customer Responsibilities means the responsibilities of the Customer set out in Call Off Schedule 4 (Implementation Plan) and any other responsibilities of the Customer in the Call Off Order Form or agreed in writing between the Parties from time to time in connection with this Call Off Contract;

  • Institutional Responsibilities means an Investigator’s professional responsibilities on behalf of the Institution, including activities such as research, teaching, clinical or other professional practice, academic activities, scholarly events, institutional committee memberships, and service on panels such as Institutional Review Boards or Data and Safety Monitoring Boards.

  • Responsibilities means the responsibilities delegated to BNY under the Rule as a Foreign Custody Manager with respect to each Specified Country and each Eligible Foreign Custodian selected by BNY, as such responsibilities are more fully described in Article III of this Agreement.

  • Civil Enforcement Officer means a person authorised by or on behalf of Lancashire County Council in accordance with Section 76 of the Traffic Management Act 2004;

  • Drug enforcement administration means the drug enforcement

  • Enforcement Committee A committee consisting of representatives of the Settling States and of the Participating Subdivisions. Exhibit B contains the organizational bylaws of the Enforcement Committee. Notice pursuant to Section XIV.Q shall be provided when there are changes in membership or contact information.

  • law enforcement means the prevention, detection or investigation of terrorist offences or other serious criminal offences;

  • Law enforcement officer means any officer authorized to direct or regulate traffic or to make

  • Enforcement Procedures means the procedures for the enforcement of Mortgages from time to time in accordance with the relevant Seller’s Policy;

  • TAXPAYERS' RIGHTS AND RESPONSIBILITIES means the rights provided to taxpayers in sections 718.11 , 718.12 , 718.19, 718.23, 718.36, 718.37, 718.38, 5717.011 , and 5717.03 of the Ohio Revised Code and any corresponding ordinances of the Municipality, and the responsibilities of taxpayers to file, report, withhold, remit, and pay municipal income tax and otherwise comply with Chapter 718. of the Ohio Revised Code and resolutions, ordinances, and rules adopted by a municipal corporation for the imposition and administration of a municipal income tax.

  • Disruption of the educational process means the interruption of classwork, the creation of disorder, or the invasion of the rights of a student or group of students.

  • Chief law enforcement officer means the chief of police of cities and towns and sheriffs of counties, unless a political subdivision has otherwise designated its chief law-enforcement officer by appropriate resolution or ordinance, in which case the local designation shall be controlling.

  • extended producer responsibility ’ (EPR) means responsibility of any producer of packaging products such as plastic, tin, glass, wrappers and corrugated boxes, etc., for environmentally sound management, till end-of-life of the packaging products ;

  • By-law Enforcement Officer means a municipal law enforcement officer of the Corporation of the Town of Huntsville who is dully appointed by the Council of the Corporation for the purpose of enforcing the provisions of the Corporation’s By-laws.

  • Enforcement Officer means a person authorised to carry out enforcement duties under Chapter 3 of the 2009 Act;

  • Code enforcement officer means the Code Enforcement Officer appointed pursuant to subdivision (b) of section 3 of this local law.

  • Support enforcement agency means a public official or agency authorized to seek:

  • Proof of financial responsibility means proof of ability to respond in damages for liability, on account of accidents occurring after the effective date of the proof, arising out of the ownership, maintenance, or use of a motor vehicle, in the amount of twenty-five thousand dollars because of bodily injury to or death of one person in any one accident, and, subject to the limit for one person, in the amount of fifty thousand dollars because of bodily injury to or death of two or more persons in any one accident, and in the amount of twenty-five thousand dollars because of injury to or destruction of property of others in any one accident.

  • Financial responsibility means the ability to respond in damages for liability thereafter incurred

  • Enforcement Costs means court expenses, reasonable attorney fees of the attorney general, and other reasonable expenses of an executive department that are incurred in relation to enforcement under this part.

  • Law enforcement agency means an agency of the state, or of a county, municipality, or other political subdivision of the state, that employs peace officers who make traffic stops in the routine performance of the officers' official duties.

  • Enforcement Director means the Assistant Director of the Office of Enforcement for the Bureau of Consumer Financial Protection, or his or her delegate.

  • Bylaw Enforcement Officer means a person or persons appointed from time to time by resolution of City Council pursuant to Section 36 of the Police Act, the purpose of which is to enforce regulatory bylaws of the municipality.

  • Law enforcement unit means an individual office, department, division, or other component of an education agency or institution that is officially authorized or designated by that agency or institution to (1) enforce laws or refer matters of law enforcement to appropriate authorities, or (2) maintain the physical security and safety of the agency or institution.

  • Area of responsibility means the geographical area, as

  • Enforcement Expenses shall include all reasonable attorneys’ fees, court costs, transcript costs, fees of experts, travel expenses, duplicating costs, printing and binding costs, telephone charges, postage, delivery service fees, and all other out-of-pocket disbursements or expenses of the types customarily incurred in connection with an action to enforce indemnification or advancement rights, or an appeal from such action. Expenses, however, shall not include fees, salaries, wages or benefits owed to Indemnitee.