SEC Investigation definition

SEC Investigation means the formal private investigation by the SEC of accounting irregularities experienced by Data Systems Network Corporation ("DSN") in DSN's 1996 and 1997 fiscal years, and of which DSN was informed by the SEC on October 29, 1998.
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SEC Investigation means the investigation pending prior to the Closing Date by the SEC and the U.S. Attorney’s Office regarding the Borrower’s prior financial reporting, misapplication of U.S. GAAP, revenue recognition practices and related conduct, and accounting errors, which resulted in the Borrower restating its 2014, 2015 and first fiscal quarter 2016 consolidated financial statements, and all incidental investigatory matters with respect thereto.
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SEC Investigation means the investigation by the United States Securities and Exchange Commission pending on and prior to February 28, 2014, which, Borrower believes focuses on Borrower’s financial accounting, reporting and controls and other matters arising from or relating to the Restatement-Related Events.
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Examples of SEC Investigation in a sentence

  • To the best of its knowledge Seller is not now, nor has it ever been, the subject of any inquiry or other investigation by the SEC ("SEC Investigation"), nor, to the best knowledge of Seller, is any such SEC Investigation pending or threatened.

  • The Lender shall be satisfied with its due diligence with respect to the SEC Investigation and the potential maximum liability (contingent or otherwise) arising from such SEC Investigation.

  • SEC Investigation of Investment Consultants The System Manager included a letter from Capital Guardian dated 1.14.05 with the dollar amount they paid to Callan Charter Investment Institute.

  • The execution, delivery and performance by the Seller of this Agreement and each of the other Transaction Documents to which it is a party do not contravene any law, rule, regulation, order, decree or contractual restriction binding on, or affecting, the Seller with respect to the SEC Investigation.

  • Liberty’s final argument is that it did not receive written notice during the policy period of AmTrust’s intent to seek reimbursement for Pre-Claim Inquiry Costs incurred in responding to the SEC Investigation.


More Definitions of SEC Investigation

SEC Investigation has the meaning set forth in the recitals to this Agreement.
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SEC Investigation means the investigation by the Securities and Exchange Commission into the circumstances giving rise to the Borrower's restatement of its audited financial statements for its Fiscal Years 1998 and 1999 and its unaudited financial statements and information released prior to April 30, 2001, for its Fiscal Year 2000, and all related governmental investigations and regulatory actions and proceedings.
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SEC Investigation means that certain pending formal investigation by the United States Securities and Exchange Commission in connection with the restatement by USA of its fiscal 1996 financial statements.
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SEC Investigation means any investigations, inquiries or requests by the SEC in connection with (i) the Company's accounting, business or other practices, (ii) the Bankruptcy Case, or (iii) the transactions contemplated by this Agreement or the other Transaction Documents.
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SEC Investigation means the matters relating to or arising under the investigation commenced by the SEC which investigation was publicly disclosed by CellStar in its Quarterly Report on Form 10-Q filed on April 10, 2006.
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SEC Investigation means the investigation of Imperial by the U.S. Securities and Exchange Commission and more particularly described in the Form 8-K filing made with the U.S. Securities and Exchange Commission under Commission File No. 001-35064 on February 21, 2012. [*] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, HAS BEEN OMITTED AND FILED SEPARATELY WITH THE SECURITIES AND EXCHANGE COMMISSION.
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SEC Investigation means the formal investigation of Borrower ----------------- commenced in June, 2002 by the Division of Enforcement of the Securities and Exchange Commission relating to Borrower's Quarterly Report on Form 10-Q for the quarter ended December 31, 2001.
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