Market Regulation Department definition

Market Regulation Department means all Company Officials and agents of the Company (including the Regulatory Services Provider) that assist the Company in the implementation, surveillance and enforcement of the Rules and other Company Requirements.
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Market Regulation Department means all Exchange Officials and/or agents of the Exchange that assist the Exchange in the implementation, surveillance and enforcement of the Exchange Rules and other Obligations.
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Market Regulation Department means the department within the SEF that regulates compliance with the SEF Rules. For purposes of the SEF Rules, Market Regulation Department may, as applicable, also include any Regulatory Services Provider pursuant to a Regulatory Services Agreement.
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Examples of Market Regulation Department in a sentence

  • In addition, trading of the new contracts will be monitored by the Market Regulation Department.

  • A Person seeking an exemption from position limits for bona fide commercial purposes shall apply to the Market Regulation Department on forms provided by the Exchange, and the Market Regulation Department may grant qualified exemptions in its sole discretion.

  • A Person seeking an exemption from position limits must apply to the Market Regulation Department in the form and manner required by the Company.

  • The Market Regulation Department will maintain a log of all investigations and their disposition.

  • Parties to a disciplinary proceeding include each respondent and the Market Regulation Department.

  • A Person subject to a disciplinary proceeding or an appeal from a disciplinary proceeding (and any counsel or representative of such Person) and the Market Regulation Department (and any counsel or representative of the Market Regulation Department) shall not knowingly make or cause to be made an ex parte communication relevant to the merits of a disciplinary proceeding or an appeal from a disciplinary proceeding to any member of the Disciplinary Panel or the Appeal Panel hearing such proceeding.

  • The Market Regulation Department has the authority to exercise its investigatory and enforcement power where potential rule violations are identified.

  • In addition, trading of the contracts is subject to all relevant Exchange rules which are enforced by the Market Regulation Department.

  • Any such agreement shall be in writing, a copy of which shall be provided to the Market Regulation Department.

  • Such records must be provided to the Market Regulation Department upon request.


More Definitions of Market Regulation Department

Market Regulation Department means all MarketAxess SEF Officials and/or agents (including the Regulatory Services Provider) that assist the MarketAxess SEF in the implementation, surveillance and enforcement of the MarketAxess SEF Rules and other Obligations.
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Market Regulation Department means all SEF Officials and/or agents of Tradition SEF (including the Regulatory Services Provider) that assist Tradition SEF in the surveillance of trading on the Platform and enforcement of the Rules and other Obligations.
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Market Regulation Department means the department within the SEF that regulates compliance with the SEF rules. For purposes of the SEF Rules, Market Regulation Department may as applicable also include the NFA pursuant to the Regulatory Services Agreement with the NFA.
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Related to Market Regulation Department

  • EU Regulation means a regulation within the meaning of Article 288 of the Treaty on the Functioning of the European Union;

  • public regulation means any national, provincial or local government legislation or subordinate legislation, or any licence, tariff, directive or similar authorisation issued by a regulatory authority or pursuant to any statutory authority;

  • Market Abuse Regulation means Regulation (EU) No 596/2014 of the European Parliament and of the Council of 16 April 2014 on market abuse;

  • Plan Asset Regulations means 29 CFR § 2510.3-101 et seq., as modified by Section 3(42) of ERISA, as amended from time to time.

  • Council Regulation means Council Regulation (EC) No. 2100/94 of 27th July 1994 on Community plant variety rights;

  • SEBI Regulations means the Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015 together with the circulars issued thereunder, including any statutory modification(s) or re-enactment(s) thereof for the time being in force.

  • the Council Regulation means Council Regulation (EC) No.1083/2006 laying down general provisions on the European Regional Development Fund, the European Social Fund and the Cohesion Fund and repealing Regulation (EC) No.1260/1999(5);

  • Regulation G means Regulation G of the Board of Governors of the Federal Reserve System as from time to time in effect and any successor to all or a portion thereof.

  • Regulation Zone means any of those one or more geographic areas, each consisting of a combination of one or more Control Zone(s) as designated by the Office of the Interconnection in the PJM Manuals, relevant to provision of, and requirements for, regulation service.

  • the 2000 Regulations means the Water Supply (Water Quality) Regulations 2000(b); "the 2001 Regulations" means the Water Supply (Water Quality) Regulations 2001(c);

  • CDM Regulations means the Construction (Design and Management) Regulations 2015;

  • CFTC Regulations means the rules and regulations promulgated by the CFTC, as amended.

  • the 2007 Regulations means the Civil Enforcement of Parking Contraventions (England) General Regulations 2007;

  • Planning Department means the Planning Department of the City and County of San Francisco.