17 C.F.R. § 201.601

Prompt payment of disgorgement, interest and penalties

Read at: eCFRecfr.gov CornellLII GovInfogovinfo.gov CasesGoogle Scholar

(a) Timing of payments. Unless otherwise provided, funds due pursuant to an order by the Commission requiring the payment of disgorgement, interest, or penalties shall be paid no later than 21 days after service of the order, and funds due pursuant to an order by a hearing officer shall be paid in accordance with the order of finality issued pursuant to § 201.360(d)(2).

(b) Stays. A stay of any order requiring the payment of disgorgement, interest or penalties may be sought at any time pursuant to § 201.401.

(c) Method of making payment. Payment shall be made by United States postal money order, wire transfer, certified check, bank cashier's check, or bank money order made payable to the Securities and Exchange Commission. The payment shall be mailed or delivered to the office designated by this Commission. Payment shall be accompanied by a letter that identifies the name and number of the case and the name of the respondent making payment. A copy of the letter and the instrument of payment shall be sent to counsel for the Division of Enforcement.

[60 FR 32796, June 23, 1995, as amended at 69 FR 13180, Mar. 19, 2004; 70 FR 72570, Dec. 5, 2005]

Notes of Decisions

Cited in 1 case, 2010–2010 · leading case: Pierce v. Sec. & Exch. Comm'n, 737 F. Supp. 2d 1068 (N.D. Cal. 2010).

Sort: Relevance Newest Treatment

Pierce v. Sec. & Exch. Comm'n, 737 F. Supp. 2d 1068 (N.D. Cal. 2010). · cites it 2× “17 C.F.R. § 201.601 (a). Pierce has not paid any amount of the disgorgement and interest.”

Annotations are extracted automatically from the opinions in the Syfert caselaw corpus and ranked by authority, recency, and treatment. Dots show Syfertize treatment of the citing case itself.