SEC Matter definition

SEC Matter means the U.S. Securities and Exchange Commission’s (the “SEC”) investigation of Borrower’s revenue recognition practices and financial reporting.
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SEC Matter means the U.S. Securities and Exchange Commission investigation of the Company’s revenue recognition practices and financial reporting.
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SEC Matter means the formal investigation relating to the Company by the SEC of which the Company was notified of such formal investigation in August 2020, and all other matters, investigations, claims, actions, proceedings, circumstances, effects and actions relating or ancillary thereto, arising therefrom or in connection therewith.
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Examples of SEC Matter in a sentence

  • Employee represents and warrants that he is not aware of any governmental or regulatory investigation or inquiry involving the S&W Parties other than the SEC Matter, the review of S&W’s periodic filings by the Securities and Exchange Commission Division of Corporation Finance, and S&W’s compliance with the listing requirements of the American Stock Exchange.

  • Employee further agrees that he and his separate counsel will permit attorneys for S&W and their agents to actively participate and assist in the preparation of Employee for any future testimony in the SEC Matter or Litigation.

  • The Company confirms your rights under the Indemnification and Advancement Obligations concerning the SEC Matter in full, and the Company will continue to advance your fees in connection with the SEC Matter and to indemnify you against any losses and expenses indemnifiable thereunder.

  • Notwithstanding anything to the contrary contained in the Agreement, the Business Manager, in addition to the above, hereby waives any right to reimbursement from the Company with respect to any legal fees or costs incurred by the Business Manager, the Sponsor or any Affiliates thereof in connection with the SEC Matter.

  • As of the date hereof, approximately $[*******] of the $[*******] retention under the Company’s directors’ and officers’ insurance policy has been exhausted with respect to the SEC Matter.

  • Countersigned and Registered by: COMPUTERSHARE TRUST COMPANY OF CANADA By: Authorized Signatory By: Authorized Signatory By: Authorized Signatory (To be executed upon exercise of DOJ/ SEC Matter Warrants) To: QLT INC.

  • Notwithstanding anything to the contrary contained in the Agreement, in the event that the Company incurs any fees, fines, assessments or other monetary penalties or other costs associated with the SEC Matter (defined below), excluding legal fees and any such fees and costs otherwise reimbursable under any insurance policy (collectively, the “Investigation Costs”), in connection with the investigation by the Securities and Exchange Commission captioned In the Matter of Inland American, Inc.


More Definitions of SEC Matter

SEC Matter means all governmental inquiries, investigations, proceedings, actions, orders, litigation related to the ICO, including but not limited to the pending investigation by the SEC and the Massachusetts Securities Division.
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