NASD Regulations definition

NASD Regulations means the Conduct Rules of the NASD (Rules 2000 through 3420).
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NASD Regulations means all of the rules and regulations promulgated by the NASD.
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Examples of NASD Regulations in a sentence

  • No consent or approval of the --------------------- stockholders of the Company is required or necessary pursuant to Rule 4350(i) of the NASD Regulations or other applicable laws for the Company to enter into this Agreement, to sell and issue the Series A Shares or to consummate the other transactions contemplated pursuant to this Agreement.

  • In addition, if in the time period stated above either Party identifies a material error in an assumption in the description of a tower of NASD Regulation Services that was approved by Nasdaq prior to the Commencement Date of this Agreement that would have a material impact on NASD Regulation's costs to provide the Services included in such tower, then the parties will negotiate an equitable adjustment to the Fee for NASD Regulation's provision of the Services in such tower to Nasdaq.

  • NASD Regulation agrees to indemnify and hold harmless Nasdaq against any and all claims, damages, losses and expenses (including reasonable attorneys' fees) arising from or in connection with any claim, demand or legal action by a third party, related directly to: (i) NASD Regulation's misuse of Nasdaq Data or information furnished to NASD Regulation by Nasdaq pursuant to the provisions of Section 11 herein.

  • NASD Regulation will submit any material change that is projected to result in a direct and documented increase in NASD Regulation's cost of providing the Services to the Operations Committee for its review and approval prior to implementing such change.

  • After the termination or expiration of this Agreement, unless such termination is due to the material breach of Nasdaq, NASD Regulation will provide such Services to Nasdaq as Nasdaq may require at NASD Regulation's then-current rates on the effective date of such termination.

  • NASD Regulation will implement such reporting mechanisms or tools or provide such reports as the Parties believe may be reasonably necessary to effectively monitor NASD Regulation's performance of the Services against applicable performance standards.

  • This Certificate is delivered with the understanding that NASD Regulations Inc.

  • The Fees paid to NASD Regulation for Services in the United States will be inclusive of any applicable sales, use, gross receipts, excise, or other taxes attributable to periods on or after the Commencement Date based upon or measured by NASD Regulation's cost in providing the Services to Nasdaq.

  • Code of Ethic 22 [INVESCO LOGO] APPENDIX G - PAGE 1 COMPLIANCE QUESTIONNAIRE AND CERTIFICATION This Questionnaire is designed to elicit information required to assure compliance with SEC and NASD Regulations.

  • Such mechanisms will: (i) permit reporting at a level of detail sufficient to verify NASD Regulation's compliance with applicable performance standards; and (ii) be subject to audit by Nasdaq or its designee pursuant to the provisions of Section 15 herein.

Related to NASD Regulations

  • 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.

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

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

  • WHFIT Regulations Treasury Regulations section 1.671-5, as amended.

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

  • Consumer advocate means the consumer advocate referred to in Iowa Code chapter 475A.

  • 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.

  • SRM Regulation means Regulation (EU) No 806/2014 of the European Parliament and 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 a Single Resolution Mechanism and a Single Resolution Fund and amending Regulation (EU) No 1093/2010, as amended or replaced from time to time.

  • 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.

  • Radio Regulations means the Radio Regulations annexed to, or regarded as being annexed to, the most recent International Telecommunication Convention which may be in force at any time.

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

  • CREST Regulations means the Uncertificated Securities Regulations 2001 (SI 2001 No. 01/378), as amended.

  • FINRA means the Financial Industry Regulatory Authority, Inc.

  • Medicaid Regulations means, collectively, (i) all federal statutes (whether set forth in Title XIX of the Social Security Act or elsewhere) affecting the medical assistance program established by Title XIX of the Social Security Act and any statutes succeeding thereto; (ii) all applicable provisions of all federal rules, regulations, manuals and orders of all Governmental Authorities promulgated pursuant to or in connection with the statutes described in clause (i) above and all federal administrative, reimbursement and other guidelines of all Governmental Authorities having the force of law promulgated pursuant to or in connection with the statutes described in clause (i) above; (iii) all state statutes and plans for medical assistance enacted in connection with the statutes and provisions described in clauses (i) and (ii) above; and (iv) all applicable provisions of all rules, regulations, manuals and orders of all Governmental Authorities promulgated pursuant to or in connection with the statutes described in clause (iii) above and all state administrative, reimbursement and other guidelines of all Governmental Authorities having the force of law promulgated pursuant to or in connection with the statutes described in clause (ii) above, in each case as may be amended, supplemented or otherwise modified from time to time.

  • 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.

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