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Enforcement Actions
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Federal Court Actions - Litigation releases concerning civil lawsuits brought by the Commission in federal court |
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Administrative Proceedings - Orders and related materials released by the Commission when administrative proceedings are instituted and/or settled |
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ALJ Decisions - Opinions issued by Administrative Law Judges in contested administrative proceedings |
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Commission Opinions - Opinions issued by the Commission on appeal of Initial Decisions or disciplinary decisions issued by self-regulatory organizations (e.g., NYSE or NASD) |
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http://www.sec.gov/divisions/enforce/enforceactions.shtml
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