| Enforcement Actions |
| EA Number |
Action Type |
PN Due/Proof PN Due PN Done/Proof PN Done |
Action Name |
Status |
Date |
| 2021-230 |
SOX |
|
ST COMPLIANCE ACHIEVED |
T |
02-01-2021 |
| 2021-229 |
SOX |
|
ST COMPLIANCE ACHIEVED |
T |
02-01-2021 |
| 2020-228 |
SIF |
|
ST PUBLIC NOTIF RECEIVED |
T |
06-30-2020 |
| 2020-226 |
SIA |
|
ST VIOLATION/REMINDER NOTICE |
T |
06-23-2020 |
| 2020-227 |
SIE |
06-23-2021
/
07-03-2021
/
|
ST PUBLIC NOTIF REQUESTED |
T |
06-23-2020 |
| 2020-222 |
SIE |
11-17-2020
/
07-11-2020
07-01-2020
/
06-30-2020
|
ST PUBLIC NOTIF REQUESTED |
T |
11-18-2019 |
| 2020-221 |
SIA |
|
ST VIOLATION/REMINDER NOTICE |
T |
11-18-2019 |
| 2020-224 |
SOX |
|
ST COMPLIANCE ACHIEVED |
T |
06-20-2019 |
| 2020-223 |
SOX |
|
ST COMPLIANCE ACHIEVED |
T |
06-20-2019 |
| 2018-219 |
SIF |
|
ST PUBLIC NOTIF RECEIVED |
T |
08-21-2018 |
| 2018-217 |
SIA |
|
ST VIOLATION/REMINDER NOTICE |
T |
07-17-2018 |
| 2018-218 |
SIE |
07-17-2019
/
08-16-2018
08-06-2018
/
08-06-2018
|
ST PUBLIC NOTIF REQUESTED |
T |
07-17-2018 |
| 2018-220 |
SOX |
|
ST COMPLIANCE ACHIEVED |
T |
07-17-2018 |
| 2017-216 |
SOX |
|
ST COMPLIANCE ACHIEVED |
T |
09-25-2017 |
| 2020-225 |
SOX |
|
ST COMPLIANCE ACHIEVED |
T |
12-13-2016 |
| 2017-214 |
SIA |
|
ST VIOLATION/REMINDER NOTICE |
T |
11-18-2016 |
| 2017-215 |
SIE |
11-18-2017
/
11-28-2017
/
|
ST PUBLIC NOTIF REQUESTED |
T |
11-18-2016 |
| 2015-213 |
SOX |
|
ST COMPLIANCE ACHIEVED |
T |
09-04-2015 |
| 2015-212 |
SOX |
|
ST COMPLIANCE ACHIEVED |
T |
10-30-2014 |
| 2015-211 |
SIA |
|
ST VIOLATION/REMINDER NOTICE |
T |
10-14-2014 |
| 2012-210 |
SIF |
|
ST PUBLIC NOTIF RECEIVED |
T |
05-02-2012 |
| 2012-208 |
SIA |
|
ST VIOLATION/REMINDER NOTICE |
T |
04-17-2012 |
| 2012-209 |
SIE |
05-17-2012
/
05-27-2012
05-02-2012
/
05-02-2012
|
ST PUBLIC NOTIF REQUESTED |
T |
04-17-2012 |
| 2006-206 |
SIE |
01-23-2007
/
02-22-2007
10-22-2010
/
10-22-2010
|
ST PUBLIC NOTIF REQUESTED |
R |
08-22-2006 |
| 2006-106 |
SIA |
|
ST VIOLATION/REMINDER NOTICE |
R |
08-22-2006 |
| 2006-207 |
SOY |
|
ST VARIANCE/EXEMPTION ISSUED |
T |
03-29-2006 |