InvestorsHub Logo
icon url

lucky, mydog

10/22/15 3:06 PM

#63210 RE: Notimpressed #63194

has revo received a termination letter?

courtesy onemanband.

From the SEC Enforcement Manual:

"The Division’s policy is to notify individuals and entities at the earliest opportunity when the staff has determined not to recommend an enforcement action against them to the Commission. This notification takes the form of a termination letter. The staff may send termination letters to individuals or entities before the investigation is closed and before a determination has been made as to every potential defendant or respondent. Termination letters should be sent regardless of whether the investigation was pursuant to a formal order."

http://www.sec.gov/divisions/enforce/enforcementmanual.pdf

Termination letters are not posted on EDGAR, but you can obtain them through an FOIA request.

https://www.sec.gov/foia.shtml