Regulatory Supervising Organization means any of (a) the SEC, (b) the Financial Industry Regulatory Authority, (c) the Chicago Stock Exchange, (d) the Commodity Futures Trading Commission, (e) state securities commissions, (f) the Irish Financial Regulator and (g) any other U.S. or foreign governmental or self-regulatory organization, exchange, clearing house or financial regulatory authority of which any Subsidiary is a member or to whose rules it is subject.
Regulatory Supervising Organization means any of (a) the SEC, (b) FINRA, (c) the New York Stock Exchange, (d) state securities commissions and (e) any other U.S. or foreign governmental or self-regulatory organization, exchange, clearing house or financial regulatory authority of which the Borrower or any Restricted Subsidiary is a member or to whose rules it is subject.
Regulatory Supervising Organization means as applicable, FINRA, the SEC or any governmental or self-regulatory organization, exchange, clearing house or financial regulatory authority of which any entity is a member or to whose rules or regulations it is subject.
Examples of Regulatory Supervising Organization in a sentence
This Policy and its implementation procedures set out the arrangements to safeguard and promote the welfare of pupils at the School.
More Definitions of Regulatory Supervising Organization
Regulatory Supervising Organization means any of (a) the Commodity Futures Trading Commission, (b) the National Futures Association, (c) the SEC, (d) the National Association of Securities Dealers or (e) any governmental or regulatory organization, exchange, clearing house or financial regulatory authority of which a Regulated Subsidiary is a member or to whose rules it is subject.
Regulatory Supervising Organization means (a) the SEC or (b) any other governmental or regulatory organization, exchange, clearing house or financial regulatory authority of which a Regulated Subsidiary is a member or to whose rules it is subject.
Regulatory Supervising Organization means any Governmental Authority or regulatory organization of which a Regulated Subsidiary is a member or to whose rules it is subject.
Regulatory Supervising Organization means, as applicable, FINRA, the SEC or any
Regulatory Supervising Organization means any of (a) the SEC, (b) the Financial Industry Regulatory Authority, (c) the Chicago Stock Exchange,
Regulatory Supervising Organization means any of (a) the Commodity Futures Trading Commission, (b) the National Futures Association,
Regulatory Supervising Organization means any of (a) the SEC, (b) the Financial Industry Regulatory Authority, (c) the Chicago Stock Exchange, (d) the Commodity Futures Trading Commission, (e) state securities commissions, (f) the Irish