SEC Settlement definition

SEC Settlement means the agreement between the SEC and Westcap Securities, L.P. memorialized in the Order Instituting Public Proceedings, Making Findings and Imposing Remedial Sanctions entered by the SEC on February 14, 1996 pursuant to which Westcap Securities, L.P. disgorged $445,340.60, paid prejudgment interest of $83,878.90, and paid a civil money penalty of $300,000 to the SEC and pursuant to which the SEC accepted Westcap Securities, L.P.'s voluntary relinquishment of its authority to engage in the purchase and sale of securities, which voluntary relinquishment was filed with the SEC on December 20, 1995.
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SEC Settlement means the settlement between the SEC and SSBT concerning Indirect FX.
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SEC Settlement means the September 30, 2021 Order of the SEC, In the Matter of Robert D. Press, accepting an Offer of Settlement providing, among other things, for the payment by Press to the Receiver, without admitting or denying the findings therein, of certain sums of money on the dates and in the amounts set forth therein. As of the date of this Settlement Agreement, Press has paid to the Receiver a total of $3,614,326 pursuant to the SEC Settlement. Press failed to make all of his payments under the SEC Settlement and the SEC secured a judgment against him.
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Examples of SEC Settlement in a sentence

  • Johnson, SEC Settlement: Agency Self-Interest or Public Interest, 12 FORDHAM J.

  • In accordance with the SEC Settlement Agreement, which was subject to court approval, the SEC filed a civil complaint against the Company in the US District Court in Washington, D.C. (Court) on April 5, 2011.

  • New York Times, An S.E.C. Settlement With Citigroup That Fails to Name Names (Aug.

  • Johnson, SEC Settlement: Agency Self-Interest or Public Interest, 12 Fordham J.

  • Peirce, Statement on SEC Settlement Charging Token Issuer with Violation of Registration Provisions of the Securities Act of 1933.

  • SEC Settlement with Goldman Sachs for $550 MillionApproved by US Judge”, Bloomberg, 21 July 2010, www.

  • Id.On July 25, 2019, Plaintiff filed a complaint in this Court asserting claims for breach of contract against Defendants for failing to cover the costs of the SEC investigation under the policy, as well as for a declaratory judgment that Defendants are to pay the costs of the SEC Settlement and reimburse Plaintiff for future legal fees and costs related to the investigation.Dkt.

  • On February 20, 2019, SEC staff asked Musk and Tesla to confirm whether Musk had complied with Tesla’s pre-approval procedures as required by the SEC Settlement.

  • As referenced in the JPMorgan SEC Settlement, JPMorgan Chase terminated all obligations of the County to make termination payments associated with the Series 2003-B Sewer Swap.

  • Newman Continue: SEC Lifts Administrative Bar on Downstream Insider Trading Tippee and Tipper Requests that Third Circuit Vacate SEC Settlement, ORRICK BLOGS (Mar.


More Definitions of SEC Settlement

SEC Settlement means the contemplated settlement between the SEC and AremisSoft, which must be approved by the SEC and which, upon such approval, will be embodied in (1) a Consent and Undertakings by AremisSoft and a Final Judgment of Permanent Injunction and Other Relief as to Defendant AremisSoft Corporation, resolving the pending SEC enforcement action against AremisSoft, styled Securities and Exchange Commission v. AremisSoft Corporation, et al., Civil Action No. 01 Civ 8903 (CSH) (SDNY), and (2) an Offer of Settlement by AremisSoft and an SEC Order Instituting Proceedings, Making Findings and Revoking Registration Pursuant to Section 12(j) of the Securities Exchange Act of 1934, to the issuance of which AremisSoft will consent in its Offer of Settlement.
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SEC Settlement means that certain Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, and Sections 9(b) and 9(f) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order against Fiduciary Asset Management, LLC, dated Xxxxxxxx 00, 0000 (XX Release No. 3520).
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SEC Settlement means the settlement agreement between the Securities Exchange Commission ("SEC") and Borrower resulting from the investigation known as In the Matter of TALX Corporation (D-02448-A), including a payment by Borrower of up to Three Million and 00/100 Dollars ($3,000,000.00) pursuant to such settlement."
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Related to SEC Settlement

  • ASX Settlement means ASX Settlement Pty Ltd (ABN 49 008 504 532);

  • PJM Settlement or “PJM Settlement, Inc.” shall mean PJM Settlement, Inc. (or its successor), established by PJM as set forth in Section 3.3 of the Operating Agreement.

  • Net Share Settlement Amount: For any Settlement Date, an amount equal to the product of (i) the number of Warrants exercised or deemed exercised on the relevant Exercise Date, (ii) the Strike Price Differential for the relevant Valuation Date and (iii) the Warrant Entitlement.

  • Cash Settlement shall have the meaning specified in Section 14.02(a).

  • Share Settlement means a number of shares of Class A Common Stock (together with any Corresponding Rights) equal to the number of Redeemed Units.

  • Call Settlement Date means the fifth Business Day following the last Index Business Day in the Call Measurement Period.

  • Net Settlement Amount means the Gross Settlement Amount, less the following payments in the amounts approved by the Court: Individual PAGA Payments, the LWDA PAGA Payment, Class Representative Service Payment, Class Counsel Fees Payment, Class Counsel Litigation Expenses Payment, and the Administration Expenses Payment. The remainder is to be paid to Participating Class Members as Individual Class Payments.

  • Final Settlement means permanent settlement of the Contractor’s actual allowable costs or expenditures as determined at the time of audit, which shall be completed within three years of the date the year-end cost settlement report was accepted for interim settlement by the State. If the audit is not completed within three years, the interim settlement shall be considered as the final settlement.

  • Cash Settlement Date means, for each Financially Settled Futures Transaction, the Business Day determined by Exchange from time to time in accordance with industry practice for such Transaction, as posted on Exchange’s Website not less than one month prior to the occurrence of such date, other than Invoices issued as a result of a Contracting Party’s Default or under the Close- out Procedure which amounts require payment immediately;

  • Remarketing Settlement Date means the date of the settlement of any Successful Remarketing, which will be three Business Days after such Remarketing.

  • ASTC Settlement Rules means the operating rules of ASTC and, to the extent that they are applicable, the operating rules of ASX and the operating rules of the Australian Clearing House Pty Limited;

  • Viatical settlement broker means a person, including a life insurance producer as provided for in section 508E.3, who, working exclusively on behalf of a viator and for a fee, commission, or other valuable consideration, offers or attempts to negotiate viatical settlement contracts between a viator and one or more viatical settlement providers or one or more viatical settlement brokers. Notwithstanding the manner in which the viatical settlement broker is compensated, a viatical settlement broker is deemed to represent only the viator, and not the insurer or the viatical settlement provider, and owes a fiduciary duty to the viator to act according to the viator’s instructions and in the best interest of the viator. “Viatical settlement broker” does not include an attorney, certified public accountant, or a financial planner accredited by a nationally recognized accreditation agency who is retained to represent the viator and whose compensation is not paid directly or indirectly by the viatical settlement provider or purchaser.

  • Net Settlement Fund means the Settlement Fund less: (i) any Taxes;

  • CCASS Settlement Day means the term “Settlement Day” as defined in the General Rules of CCASS.

  • TARGET Settlement Day means any day on which TARGET2 is open for the settlement of payments in euro;

  • securities settlement system means a securities settlement system (as defined in the CSD Regulation) operated by a central securities depository;

  • First Settlement Date means the date set forth in footnote 3 under "Summary of Essential Financial Information" in the Prospectus Part I for a Trust.

  • Combination Settlement shall have the meaning specified in Section 14.02(a).

  • Final Settlement Date has the meaning set forth in Section 2.4(c).

  • Mandatory Settlement Date means the earliest of:

  • Ontario Settlement Class means the settlement class in respect of the Ontario Action as defined in Schedule A.

  • Net Share Settlement Amount For any Settlement Date, an amount equal to the product of (i) the number of Warrants exercised or deemed exercised on the relevant Exercise Date, (ii) the Strike Price Differential for the relevant Valuation Date and (iii) the Warrant Entitlement.

  • Purchase Contract Settlement Date means [ ].

  • Gross Settlement Amount means Two Hundred Forty Thousand Dollars and Zero Cents ($240,000.00) which is the total amount Defendant agrees to pay under the Settlement. The Gross Settlement Amount will be used to pay Individual Settlement Payments, Individual PAGA Payments, the LWDA PAGA Payment, Class Counsel Fees Payment, Class Counsel Litigation Expenses Payment, Class Representative Service Payment, and the Administration Expenses.

  • Subscription Settlement Date means the second Valuation Date after the Subscription Trade Date, provided that such Valuation Date is not a Disrupted Day and that such Valuation Date is both a Currency Business Day and a Clearing System Business Day.

  • Day-ahead Settlement Interval means the interval used by settlements, which shall be every one clock hour. Day-ahead System Energy Price: