Early Warning Threshold definition

Early Warning Threshold means (a) with respect to any Regulated Subsidiary subject to regulation by the SEC, those circumstances set forth in Rule 17a 11(b) promulgated under the 1934 Act pursuant to which a broker-dealer is required to give an “early warning” notice of capital related problems to the SEC and (b) with respect to any Regulated Subsidiary not covered by clause (a) above, any provisions arising under applicable law or regulation similar in nature to those enumerated in clause (a) above.

Early Warning Threshold means, with respect to any Broker-Dealer Subsidiary, those circumstances set forth in Rule 17a-11(b) promulgated under the Securities Exchange Act pursuant to which a broker-dealer is required to give an “early warning” notice of capital-related problems to the SEC.

Early Warning Threshold means the level at which a Broker-Dealer is required to give an “early warning” notice of reductions in its level of Regulatory Net Capital to the SEC or a Regulatory Supervising Organization pursuant to the rules and regulations of the Exchange Act (or any successor statute) or of such Regulatory Supervising Organization then applicable to any Broker-Dealer.

Examples of Early Warning Threshold in a sentence

• The Company has access to an undrawn loan facility with Old Mutual Wealth Holdings Limited which can be drawn down should cash levels fall below the Early Warning Threshold as monitored under Quilter Investors’ financial risk appetite framework.

• Step Bonus 1 300 2 303 3 306 4 309 5 312 6 314 7 317 8 320 9 323 10 326 11 211 12 253 13 332 14 178 15 180 16 180 17 103 18 339 19 339 20 109 21 109 22 109 23 227 24 227 25 112 Professional Compensation Rate $21.44 In order for any step advancement to occur, the District fund balance must be 1% greater than the state defined Early Warning Threshold (EWT), expressed as a percentage of total general fund revenues.

• Required Net Capital (2%of Aggregate Net Capital in Excess of Required Net Capital in Excess of Early Warning Threshold (5% of Aggregate Ratio of Net Capital to AggregateDate Net Capital Debit Balances)Net CapitalDebit Balances)Debit Balances September 30, 2012 .

• In order for any step advancement to occur, the District fund balance must be 1% greater than the state defined Early Warning Threshold (EWT), expressed as a percentage of total general fund revenues.

• In this way, the liquidity coverage ratio serves as an Early Warning Threshold.

• These broker-dealer, FCM and FDM net capital thresholds, which are specified in Rule 17a-11 under the Exchange Act and CFTC Regulations 1.12 and 5.6, are typically referred to as "early warning" net capital thresholds.The following tables summarize our broker-dealer and FCM/FDM subsidiaries' net capital and adjusted net capital, respectively, as of March 31, 2020 (dollars in millions): Net Capital Early Warning Threshold Our clearing broker-dealer subsidiary, TD Ameritrade Clearing, Inc.

• The level of the Group Solvency II ratio is managed using Old Mutual plc’s risk appetite, which sets out an Early Warning Threshold and Risk Limit.

• Step 1-12 $310 Step 13 $ 80 Step 14 $390 Step 15 $235 Step 16 $ 80 Step 17 $235 Step 18-19 $ 80 Step 20 $540 Step 21-24 $ 80 Step 25 + $310 Professional Compensation Rate $21.44 In order for any step advancement to occur, the District fund balance must be 1% greater than the state defined Early Warning Threshold (EWT), expressed as a percentage of total general fund revenues.

• Upon the breach of the Early Warning Threshold, the Bank will start considering whether the activation of the relevant recovery options is deemed as appropriate in order to bring the Leverage Ratio back to the green zone.

More Definitions of Early Warning Threshold

Early Warning Threshold means, (a) with respect to any Regulated Subsidiary subject to regulation by the SEC, those circumstances set forth in Rule 17a-11(b) promulgated under the 1934 Act pursuant to which a broker-dealer is required to give an "early warning" notice of capital related problems to the SEC, (b) with respect to any Regulated Subsidiary subject to regulation by the Commodity Futures Trading Commission, those circumstances set forth in 17 C.F.R. Sections 1.12 and 1.17 pursuant to which a futures commission merchant is required to give an "early warning" notice of capital related problems to the Commodity Futures Trading Commission, and (c) with respect to any Regulated Subsidiary not covered by clauses (a) or (b) above, any provisions arising under applicable law or regulation similar in nature to those enumerated in clauses (a) and (b) above.

Early Warning Threshold means, with respect to any Broker-Dealer Subsidiary, those circumstances set forth in Rule 17a-11 promulgated under the Securities Exchange Act or in any FINRA Rule pursuant to which a broker-dealer is required to give an “early warning” notice of capital-related problems to the SEC and/or FINRA.

Early Warning Threshold means, with respect to any Broker-Dealer Subsidiary, those circumstances set forth in Rule 17a-11(b) promulgated under the Securities Exchange Act pursuant to which a broker-dealer is required to give an “early warning” notice of capital-related problems to the SEC. “Earn Out Obligations” means, with respect to an Acquisition, all obligations of the Borrower or any Subsidiary to make earn out or other contingency payments (including purchase price adjustments or other indemnity obligations) pursuant to the documentation relating to such Acquisition. 11 CHAR1\1816984v1CHAR1\1816984v7

Early Warning Threshold means (a) with respect to any Regulated Subsidiary subject to regulation by the SEC, those circumstances set forth in Rule 17a 11(b) promulgated under the 1934 Act pursuant to which a broker-dealer is required to give an “early warning” notice of capital related problems to the SEC and (b) with respect to any Regulated Subsidiary not covered by c lause (a) above, any provisions arising under applicable law or regulation similar in nature to those enumerated in c lause (a) above.