NASD Regulation definition

NASD Regulation means NASD Regulation, Inc.;
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NASD Regulation administrative functions reasonably related necessary for NASD Regulation's performance in connection with any of the foregoing; and
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NASD Regulation. NASDR," "The Nasdaq Stock Market, Inc.," "Nasdaq", "American Stock Exchange LLC", or "AMEX" in any advertising, informational, promotional or other media or materials of the Voting Trustee without the prior written consent of the NASD. The Voting Trustee shall not use any trademark, service mark, copyright, or patent ox xxe NASD or any of its subsidiaries or affiliates, registered, or unregistered without the prior written consent of the NASD.
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Examples of NASD Regulation in a sentence

  • Xxxxx, Chief of the Office of Small Business Policy of the Securities and Exchange Commission’s Division of Corporation Finance, to Xxx Worm of NASD Regulation, Inc., dated January 21, 2000.

  • Xxxxx, Chief of the Office of Small Business Policy of the Securities and Exchange Commission’s Division of Corporation Finance, to Kxx Worm of NASD Regulation, Inc., dated January 21, 2000.

  • Xxxxx, Chief of the Office of Small Business Policy of the Securities and Exchange Commission's Division of Corporation Finance, to Xxx Worm of NASD Regulation, Inc., dated January 21, 2000.

  • The Trust shall pay to each Principal Distributor of Class B Shares of any series its "Allocable Portion," as hereinafter defined, of the distribution fee allowable under the Rules of Conduct of NASD Regulation, Inc.

  • All of the information provided to the Underwriters or to counsel for the Underwriters by the Fund, its officers and Trustees in connection with letters, filings or other supplemental information provided to NASD Regulation Inc.

  • The Fund shall pay to the Distributor its “Allocable Portion”, as hereinafter defined, at the end of each month, the distribution and service fee allowable under the Rules of Conduct of NASD Regulation, Inc.

  • The Fund may incur as a distributor of the Shares, expenses at the rates set forth in Schedule A per annum of the average daily net assets of the Fund attributable to the Shares, subject to any applicable limitations imposed from time to time by applicable rules of the NASD Regulation, Inc.

  • The Company shall bear all registration and filing fees, fees and expenses of compliance with securities or blue sky laws, fees and expenses in connection with the review of underwriting arrangements by the NASD Regulation, Inc.

  • Payment of the service fee described in this Section 1 shall be subject to any limitations set forth in applicable regulations of the NASD Regulation, Inc.

  • From time to time in connection with any particular sale of Securities, the Company will, at its own expense, obtain any registration or qualification required to sell any Securities under the Blue Sky laws of any applicable jurisdictions, as reasonably requested by LTCO, and shall pay any filing fees required by NASD Regulation, Inc.


More Definitions of NASD Regulation

NASD Regulation means the subsidiary of the NASD with responsibilities for regulation of NASD members.
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Related to NASD Regulation

  • CSD Regulations means the CSD’s rules and regulations applicable to the Issuer, the Agent and the Notes from time to time.

  • NASD Rules means the Rules of the National Association of Securities Dealers, Inc., as amended from time to time.

  • AT&T-10STATE means the AT&T owned ILEC(s) doing business in Arkansas, Illinois, Indiana, Kansas, Michigan, Missouri, Ohio, Oklahoma, Texas and Wisconsin.

  • AIFM Regulation means Commission Delegated Regulation (EU) No. 231/2013.

  • SRM Regulation means Regulation (EU) No. 806/2014 of the European Parliament and of the Council of 15 July 2014, establishing uniform rules and a uniform procedure for the resolution of credit institutions and certain investment firms in the framework of the Single Resolution Mechanism and the Single Resolution Fund and amending Regulation (EU) No. 1093/2010, as amended or replaced from time to time (including by the SRM Regulation II).

  • State purchased health care or "health care" means medical

  • DR means an American Depositary Receipt, European Depositary Receipt, or Global Depositary Receipt or similar instrument issued by a depositary to represent the underlying securities held by the depositary.

  • managing dealer means a person that has entered into an agreement with an issuer under which the person has agreed to organize and participate in the solicitation of the exercise of the rights issued by the issuer;

  • 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;

  • FRB Regulation D means Regulation D as promulgated by the Board of Governors of the Federal Reserve System, 12 CFR Part 204, as amended.

  • Securities Trading Act means the Securities Trading Act of 2007 no.75 of the Relevant Jurisdiction.

  • SEC Regulation D means Regulation D as promulgated under the Securities Act of 1933, as amended, as the same may be in effect from time to time.

  • Public school academy means a public school academy or strict discipline academy organized under the revised school code, 1976 PA 451, MCL 380.1 to 380.1852.

  • Public Xxxxxx shall have the meaning assigned to such term in Section 10.01(d).

  • CRD IV Regulation means Regulation (EU) No. 575/2013 on prudential requirements for credit institutions and investment firms of the European Parliament and of the Council of June 26, 2013, as the same may be amended or replaced from time to time.

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

  • FINRA means the Financial Industry Regulatory Authority, Inc.

  • SECP or “Commission” means Securities and Exchange Commission of Pakistan established under Securities and Exchange Commission of Pakistan Act, 1997 and shall include its successor.

  • SEC Rule 144 means Rule 144 promulgated by the SEC under the Securities Act.

  • AT&T-4STATE means the AT&T owned ILEC(s) doing business in Arkansas, Kansas, Missouri and Oklahoma.

  • HOD means the Head of the Department concerned.

  • Short-rotation coppice means a specific management regime whereby the poles of trees are cut every one to two years and which is aimed at producing biomass for energy. It is exempt from the UK government timber procurement policy requirements and falls under agricultural regulation and supervision rather than forestry. The exemption only refers to short-rotation coppice, and not 'conventional' coppice which is forest management and therefore subject to the timber policy.

  • Repurchase Rules and Regulations shall have the meaning specified in Section 6.14 of the Indenture.

  • OHS Regulation means the Workers Compensation Act (British Columbia), including without limitation, the Occupational Health & Safety Regulation (BC Regulation 296/97, as amended by BC Regulation 185/99) enacted pursuant to such Act, all as such Act or Regulations are amended or re-enacted from time to time.

  • Regulation E includes specific rules for all parties involved governing the issuance and use of Debit Cards and the processing of On-line Debit Card Transactions.

  • Public school means any institution or activity operated by