Regulatory Services Agreement definition

Regulatory Services Agreement means the agreement between BSEF and the Regulatory Services Provider whereby the Regulatory Services Provider provides market surveillance and trade practice surveillance functions as well as other compliance related services to the SEF operated by BSEF.
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Regulatory Services Agreement means the agreement(s) between the SEF and Regulatory Services Provider(s), under which market surveillance and trade practice surveillance functions are delegated to the Regulatory Services Provider.
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Regulatory Services Agreement means the agreement(s) between the Company and the Regulatory Service Provider(s) whereby certain functions mandated under the CEA, such as market monitoring and trade practice surveillance, are delegated to the Regulatory Services Provider(s).
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Examples of Regulatory Services Agreement in a sentence

  • These rules may be cited by FINRA in both the context of this Agreement and the Regulatory Services Agreement.

  • In 2007, the NASD, NYSE, the Exchange and NYSE Regulation also entered into a Regulatory Services Agreement (“RSA”), whereby FINRA was retained to perform certain regulatory services for non-common rules.

  • The amended Constitution also provides that Amex will retain ultimate legal responsibility for, and control of, its self-regulatory responsibilities, and that any such regulatory services agreement shall so provide.In the proposal, the Exchange notedthat this rule change would have immediate applicability with respect to a Regulatory Services Agreement (‘‘RSA’’) dated as of April 30, 2004, between the National Association of Securities Dealers, Inc.

  • Pursuant to the Administrative and Regulatory Services Agreement between XXX and IIROC, effective June 1, 2008, the XXX has retained IIROC to provide services for XXX to carry out its regulatory functions.

  • The initial term of the Regulatory Services Agreement expires on June 28, 2010.


More Definitions of Regulatory Services Agreement

Regulatory Services Agreement means the agreement between Tera and the Regulatory Services Provider whereby the Regulatory Service Provider provides market surveillance and trade practice surveillance functions as well as other compliance-related services to Tera.
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Regulatory Services Agreement means the agreement(s) between the Company and the Regulatory Services Provider(s) whereby certain functions mandated
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Regulatory Services Agreement means the Regulatory Services Agreement dated as of the Execution Date between the Parties relating to the provision by Pfizer of specified regulatory services in the US Territory on a contract basis for Eyetech.
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Regulatory Services Agreement or “RSA” means the agreement(s) between the SEF and the NFA, as the Regulatory Services Provider, whereby market surveillance and trade practice surveillance functions are delegated to the Regulatory Services Provider.
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Regulatory Services Agreement means the agreement, if any, between GTX and the Regulatory Services Provider whereby the Regulatory Services Provider provides market surveillance and trade practice surveillance functions as well as other compliance related services to GTX.
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Regulatory Services Agreement means the agreement(s) between INFX SEF and the Regulatory Services Provider whereby market surveillance and trade practice surveillance functions are conducted on behalf of INFX SEF.
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Regulatory Services Agreement means the agreement(s) between the SEF and the Regulatory Services Provider whereby certain functions mandated under the CEA, such as market surveillance and trade practice surveillance, are performed by the Regulatory Services Provider;
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