TWOU
ACHN
AMD
AVAV
ALK
ALDR
ACH
AMBA
AMC
AAT
AXL
ADM
AVID
AVT
AXTA
BCPC
BLL
BANR
BEL
BNFT
BXMT
BLMN
BWP
BCC
BPFH
BFAM
CACI
CDZI
CVGW
CALM
CBM
CATM
CCL
CASY
CVCO
CBZ
GIB
CAKE
CC
CHSP
DL
CHH
CIR
CTRN
KOF
CDE
CNS
CBU
CPSI
CAG
CLR
CLGX
COR
DHR
PLAY
DVN
DRH
DLTH
EGP
EA
LLY
ELLI
ENDP
ENR
ENS
ENV
EQC
ESE
ESNT
ETSY
EVH
EZPW
FN
FOE
GSM
FCNCA
FFIN
FLS
F
FORR
FET
FWRD
FELE
FRED
RAIL
FDP
FRPT
FRO
GLOG
GCP
THRM
GLOB
GOGO
GWB
GPRE
GRUB
GSIT
HRB
FUL
HRS
HOMB
HMN
HMHC
HUBG
HUBS
HURC
IDT
HIFR
NGVT
INVA
IPHI
IVZ
ITG
IRDM
JBHT
JAKK
JRVR
SJM
JBT
KSU
KW
KEX
KRG
KKR
KSS
KRA
LTD
LE
LSCC
FSTR
LTXB
TREE
LXRX
LBRDK
LTRPA
LTC
MTSI
MGNX
MNKD
MFC
MPX
HZO
MKL
MKTX
DOOR
MATX
MXIM
MDC
MLNX
MRCY
MTH
MTG
MVIS
MAA
MSL
MCRN
MNR
MORE
MRC
LABL
NAVG
NAV
NCS
NEOG
NTCT
NVRO
NYCB
NSC
NWBI
NWE
DNOW
NUS
NVEC
ODC
ONNN
OTEX
OPK
ORIT
PCAR
PRK
PRTY
PEGI
PCTY
PDCE
PMT
PAG
PR
Documents
No Recent SEC Investigative Records Found – 270 Companies
As of the date of the response in the table below, we received Freedom of Information Act (FOIA) responses from the SEC to suggest the absence of recent SEC investigative activity. If you think any of these companies have SEC investigations, or had them in the recent past, let us know and we’ll file an appeal to challenge the adequacy of the search that led to the responses cited here.
| # | Company Name | Ticker | Date of Response |
| 1 | 2U Inc. | TWOU | 5-Jul-2019 |
| 2 | Achillion Pharmaceuticals, Inc. | ACHN | 17-Jul-2019 |
| 3 | Advanced Micro Devices, Inc. | AMD | 26-Jul-2019 |
| 4 | AeroVironment, Inc. | AVAV | 10-Jul-2019 |
| 5 | Alaska Air Group, Inc. | ALK | 3-Jul-2019 |
| 6 | Alder Biopharmaceuticals Inc. | ALDR | 10-Jul-2019 |
| 7 | Aluminum Corporation of China Limited (ADR) | ACH | 21-Jun-2019 |
| 8 | Ambarella Inc. | AMBA | 2-Jul-2019 |
| 9 | AMC Entertainment Holdings, Inc. | AMC | 2-Jul-2019 |
| 10 | American Assets Trust Inc. | AAT | 17-Jun-2019 |
| 11 | American Axle & Manufacturing Holdings, Inc. | AXL | 2-Jul-2019 |
| 12 | Archer-Daniels-Midland Company | ADM | 11-Jul-2019 |
| 13 | Avid Technology, Inc. | AVID | 23-Jul-2019 |
| 14 | Avnet, Inc. | AVT | 23-Jul-2019 |
| 15 | Axalta Coating Systems, Ltd. | AXTA | 2-Jul-2019 |
| 16 | Balchem Corp. | BCPC | 2-Jul-2019 |
| 17 | Ball Corporation | BLL | 2-Jul-2019 |
| 18 | Banner Corp. | BANR | 17-Jul-2019 |
| 19 | Belmond Ltd. | BEL | 8-Jul-2019 |
| 20 | Benefitfocus Inc. | BNFT | 22-Jul-2019 |
| 21 | Blackstone Mortgage Trust, Inc. | BXMT | 22-Jul-2019 |
| 22 | Bloomin' Brands Inc. | BLMN | 24-Jun-2019 |
| 23 | Boardwalk Pipeline Partners, LP | BWP | 23-Jul-2019 |
| 24 | Boise Cascade Co. | BCC | 8-Jul-2019 |
| 25 | Boston Private Financial Holdings, Inc. | BPFH | 23-Jul-2019 |
| 26 | Bright Horizons Family Solutions, Inc. | BFAM | 3-Jul-2019 |
| 27 | CACI International, Inc. | CACI | 10-Jul-2019 |
| 28 | Cadiz Inc. | CDZI | 8-Jul-2019 |
| 29 | Calavo Growers Inc. | CVGW | 19-Jun-2019 |
| 30 | Cal-Maine Foods, Inc. | CALM | 10-Jul-2019 |
| 31 | Cambrex Corp. | CBM | 10-Jul-2019 |
| 32 | Cardtronics Plc | CATM | 3-Jul-2019 |
| 33 | Carnival Corp. | CCL | 26-Jun-2019 |
| 34 | Casey's General Stores Inc. | CASY | 9-Jul-2019 |
| 35 | Cavco Industries, Inc. | CVCO | 17-Jul-2019 |
| 36 | CBIZ, Inc. | CBZ | 22-Jul-2019 |
| 37 | CGI Group, Inc. | GIB | 19-Jun-2019 |
| 38 | Cheesecake Factory Inc., The | CAKE | 1-Jul-2019 |
| 39 | Chemours Company, The | CC | 19-Jun-2019 |
| 40 | Chesapeake Lodging Trust | CHSP | 12-Jul-2019 |
| 41 | China Distance Education Holdings Limited | DL | 2-Jul-2019 |
| 42 | Choice Hotels International Inc. | CHH | 3-Jul-2019 |
| 43 | CIRCOR International, Inc. | CIR | 26-Jul-2019 |
| 44 | Citi Trends Inc. | CTRN | 21-Jun-2019 |
| 45 | Coca-Cola FEMSA S.A.B de C.V. | KOF | 21-Jun-2019 |
| 46 | Coeur Mining Inc. | CDE | 12-Jul-2019 |
| 47 | Cohen & Steers, Inc. | CNS | 2-Jul-2019 |
| 48 | Community Bank System Inc. | CBU | 2-Jul-2019 |
| 49 | Computer PRograms & Systems Inc. | CPSI | 2-Jul-2019 |
| 50 | Conagra Brands, Inc. | CAG | 20-Jun-2019 |
| 51 | Continental Resources, Inc. | CLR | 24-Jun-2019 |
| 52 | CoreLogic, Inc. | CLGX | 6-May-2019 |
| 53 | Coresite Realty Corp. | COR | 12-Jul-2019 |
| 54 | Danaher Corporation | DHR | 1-Jul-2019 |
| 55 | Dave & Buster's Entertainment, Inc. | PLAY | 2-Jul-2019 |
| 56 | Devon Energy Corporation | DVN | 15-Jul-2019 |
| 57 | DiamondRock Hospitality Company | DRH | 2-Jul-2019 |
| 58 | Duluth Holdings Inc. | DLTH | 2-Jul-2019 |
| 59 | Eastgroup Properties Inc. | EGP | 11-Jul-2019 |
| 60 | Electronic Arts, Inc. | EA | 16-Jul-2019 |
| 61 | Eli Lilly & Company | LLY | 22-Jul-2019 |
| 62 | Ellie Mae Inc. | ELLI | 2-Jul-2019 |
| 63 | Endo International Plc | ENDP | 26-Jun-2019 |
| 64 | Energizer Holdings, Inc. | ENR | 21-Jun-2019 |
| 65 | EnerSys | ENS | 1-Jul-2019 |
| 66 | Envestnet, Inc. | ENV | 1-Jul-2019 |
| 67 | Equity Commonwealth | EQC | 1-Jul-2019 |
| 68 | ESCO Technologies, Inc. | ESE | 20-Jun-2019 |
| 69 | Essent Group Ltd. | ESNT | 20-Jun-2019 |
| 70 | Etsy Inc. | ETSY | 11-Jul-2019 |
| 71 | Evolent Health Inc. | EVH | 22-Jul-2019 |
| 72 | Ezcorp, Inc. | EZPW | 28-Jun-2019 |
| 73 | Fabrinet | FN | 22-Jul-2019 |
| 74 | Ferro Corp. | FOE | 11-Jul-2019 |
| 75 | Ferroglobe Plc | GSM | 12-Jul-2019 |
| 76 | First Citizens Bancshares, Inc. | FCNCA | 17-Jun-2019 |
| 77 | First Financial Bankshares Inc. | FFIN | 5-Jul-2019 |
| 78 | Flowserve Corp. | FLS | 21-Jun-2019 |
| 79 | Ford Motor Company | F | 26-Jun-2019 |
| 80 | Forrester Research, Inc. | FORR | 11-Jul-2019 |
| 81 | Forum Energy Technologies Inc. | FET | 11-Jul-2019 |
| 82 | Forward Air Corp. | FWRD | 27-Jun-2019 |
| 83 | Franklin Electric Co., Inc. | FELE | 8-Jul-2019 |
| 84 | Fred's, Inc. | FRED | 9-Jul-2019 |
| 85 | FreightCar America Inc. | RAIL | 9-Jul-2019 |
| 86 | Fresh Del Monte Produce Inc. | FDP | 17-Jun-2019 |
| 87 | Freshpet Inc. | FRPT | 16-Jul-2019 |
| 88 | Frontline Ltd. | FRO | 16-Jul-2019 |
| 89 | GasLog Ltd. | GLOG | 16-Jul-2019 |
| 90 | GCP Applied Technologies Inc. | GCP | 26-Jun-2019 |
| 91 | Gentherm Inc. | THRM | 18-Jul-2019 |
| 92 | Globant SA | GLOB | 18-Jul-2019 |
| 93 | Gogo, Inc. | GOGO | 22-Jul-2019 |
| 94 | Great Western Bancorp, Inc. | GWB | 10-Jul-2019 |
| 95 | Green Plains, Inc. | GPRE | 5-Jul-2019 |
| 96 | Grubhub Inc. | GRUB | 15-Jul-2019 |
| 97 | GSI Technology Inc. | GSIT | 2-Jul-2019 |
| 98 | H&R Block, Inc. | HRB | 1-Jul-2019 |
| 99 | H.B. Fuller Company | FUL | 11-Jul-2019 |
| 100 | Harris Corporation | HRS | 9-Jul-2019 |
| 101 | Home Bancshares, Inc. | HOMB | 25-Jun-2019 |
| 102 | Horace Mann Educators Corp. | HMN | 2-Jul-2019 |
| 103 | Houghton Mifflin Harcourt Co. | HMHC | 26-Jun-2019 |
| 104 | Hub Group Inc. | HUBG | 18-Jul-2019 |
| 105 | HubSpot Inc. | HUBS | 20-Jun-2019 |
| 106 | Hurco Companies Inc. | HURC | 26-Jun-2019 |
| 107 | IDT Corp. | IDT | 3-Jul-2019 |
| 108 | InfraREIT Inc. | HIFR | 18-Jul-2019 |
| 109 | Ingevity Corp. | NGVT | 26-Jun-2019 |
| 110 | Innoviva Inc. | INVA | 18-Jul-2019 |
| 111 | Inphi Corp. | IPHI | 24-Jul-2019 |
| 112 | Invesco, Ltd. | IVZ | 25-Jul-2019 |
| 113 | Investment Technology Group, Inc. (coverage dropped due to M&A activity) | ITG | 17-Jul-2019 |
| 114 | Iridium Communications Inc. | IRDM | 26-Jun-2019 |
| 115 | J B Hunt Transport Services Inc. | JBHT | 17-Jul-2019 |
| 116 | JAKKS Pacific Inc. | JAKK | 11-Jul-2019 |
| 117 | James River Group Holdings Ltd. | JRVR | 9-Jul-2019 |
| 118 | JM Smucker Company, The | SJM | 19-Jun-2019 |
| 119 | John Bean Technologies Corp. | JBT | 21-Jun-2019 |
| 120 | Kansas City Southern | KSU | 12-Jul-2019 |
| 121 | Kennedy-Wilson Holdings Inc. | KW | 17-Jun-2019 |
| 122 | Kirby Corporation | KEX | 18-Jun-2019 |
| 123 | Kite Realty Group Trust | KRG | 10-Jul-2019 |
| 124 | KKR & Co LP | KKR | 27-Jun-2019 |
| 125 | Kohl's Corp. | KSS | 21-Jun-2019 |
| 126 | Kraton Corporation | KRA | 8-Jul-2019 |
| 127 | L Brands Inc. | LTD | 23-Jul-2019 |
| 128 | Lands' End, Inc. | LE | 12-Jul-2019 |
| 129 | Lattice Semiconductor Corporation | LSCC | 21-Jun-2019 |
| 130 | LB Foster Co. | FSTR | 17-Jul-2019 |
| 131 | LegacyTexas Financial Group, Inc. | LTXB | 23-Jul-2019 |
| 132 | Lendingtree Inc. | TREE | 17-Jul-2019 |
| 133 | Lexicon Pharmaceuticals Inc | LXRX | 12-Jul-2019 |
| 134 | Liberty Broadband Corp. | LBRDK | 16-Jul-2019 |
| 135 | Liberty Tripadvisor Holdings Inc. | LTRPA | 16-Jul-2019 |
| 136 | LTC Properties Inc. | LTC | 11-Jul-2019 |
| 137 | MACOM Technology Solutions Holdings Inc. | MTSI | 2-Jul-2019 |
| 138 | MacroGenics Inc. | MGNX | 10-Jul-2019 |
| 139 | MannKind Corp. | MNKD | 9-Jul-2019 |
| 140 | Manulife Financial Corporation | MFC | 19-Jun-2019 |
| 141 | Marine Products Corp. | MPX | 24-Jul-2019 |
| 142 | Marinemax Inc. | HZO | 23-Jul-2019 |
| 143 | Markel Corp. | MKL | 1-Jul-2019 |
| 144 | MarketAxess Holdings, Inc. | MKTX | 21-Jun-2019 |
| 145 | Masonite International Corp. | DOOR | 2-Jul-2019 |
| 146 | Matson Inc. | MATX | 18-Jul-2019 |
| 147 | Maxim Integrated Products, Inc. | MXIM | 18-Jul-2019 |
| 148 | MDC Holdings, Inc. | MDC | 21-Jun-2019 |
| 149 | Mellanox Technologies, Ltd. | MLNX | 25-Jul-2019 |
| 150 | Mercury Systems Inc. | MRCY | 10-Jul-2019 |
| 151 | Meritage Homes Corp. | MTH | 10-Jul-2019 |
| 152 | MGIC Investment Corp. | MTG | 2-Jul-2019 |
| 153 | Microvision Inc. | MVIS | 18-Jul-2019 |
| 154 | Mid-America Apartment Communities Inc. | MAA | 16-Jul-2019 |
| 155 | MidSouth Bancorp, Inc. | MSL | 5-Jul-2019 |
| 156 | Milacron Holdings Corp. | MCRN | 17-Jul-2019 |
| 157 | Monmouth Real Estate Investment Corp. | MNR | 23-Jul-2019 |
| 158 | Monogram Residential Trust Inc. | MORE | 22-Jul-2019 |
| 159 | MRC Global Inc. | MRC | 23-Jul-2019 |
| 160 | Multi Color Corp. | LABL | 22-Jul-2019 |
| 161 | Navigators Group Inc. | NAVG | 1-Jul-2019 |
| 162 | Navistar International Corporation | NAV | 24-Jul-2019 |
| 163 | NCI Building Systems Inc. | NCS | 18-Jun-2019 |
| 164 | Neogen Corp. | NEOG | 2-Jul-2019 |
| 165 | NetScout Systems, Inc. | NTCT | 8-Jul-2019 |
| 166 | Nevro Corp. | NVRO | 8-Jul-2019 |
| 167 | New York Community Bancorp Inc. | NYCB | 16-Jul-2019 |
| 168 | Norfolk Southern Corp. | NSC | 8-Jul-2019 |
| 169 | Northwest Bancshares Inc. | NWBI | 23-Jul-2019 |
| 170 | Northwestern Corp. | NWE | 8-Jul-2019 |
| 171 | Now, Inc. | DNOW | 8-Jul-2019 |
| 172 | Nu Skin Enterprises, Inc. | NUS | 24-Jun-2019 |
| 173 | NVE Corporation | NVEC | 8-Jul-2019 |
| 174 | Oil-Dri Corp of America | ODC | 19-Jul-2019 |
| 175 | ON Semiconductor Corp. | ONNN | 16-Jul-2019 |
| 176 | Open Text Corp. | OTEX | 11-Jul-2019 |
| 177 | Opko Health, Inc. | OPK | 19-Jun-2019 |
| 178 | Oritani Financial Corp. | ORIT | 26-Jun-2019 |
| 179 | PACCAR Inc. | PCAR | 26-Jun-2019 |
| 180 | Park National Corp. | PRK | 18-Jul-2019 |
| 181 | Party City Holdco Inc. | PRTY | 17-Jun-2019 |
| 182 | Pattern Energy Group Inc. | PEGI | 2-Jul-2019 |
| 183 | Paylocity Holding Corp. | PCTY | 17-Jun-2019 |
| 184 | PDC Energy Inc. | PDCE | 17-Jun-2019 |
| 185 | PennyMac Mortgage Investment Trust | PMT | 28-Jun-2019 |
| 186 | Penske Automotive Group, Inc. | PAG | 24-Jun-2019 |
| 187 | Perficient Inc. | PRFT | 19-Jun-2019 |
| 188 | Performance Food Group Co. | PFGC | 18-Jun-2019 |
| 189 | Phillips 66 | PSX | 12-Jul-2019 |
| 190 | Physicians Realty Trust | DOC | 9-Jul-2019 |
| 191 | Pinnacle Financial Partners Inc. | PNFP | 2-Jul-2019 |
| 192 | PRA Health Sciences, Inc. | PRAH | 24-Jun-2019 |
| 193 | Premier Inc. | PINC | 17-Jun-2019 |
| 194 | Prestige Brands Holdings, Inc. | PBH | 25-Jun-2019 |
| 195 | Principal Financial Group Inc. | PFG | 27-Jun-2019 |
| 196 | Proofpoint, Inc. | PFPT | 24-Jun-2019 |
| 197 | Prothena Corporation Plc | PRTA | 2-Jul-2019 |
| 198 | Proto Labs Inc. | PRLB | 9-Jul-2019 |
| 199 | Prudent Financial, Inc. | PRU | 19-Jun-2019 |
| 200 | PS Business Parks Inc. | PSB | 9-Jul-2019 |
| 201 | Pure Storage Inc. | PSTG | 20-Jun-2019 |
| 202 | Q2 Holdings Inc. | QTWO | 27-Jun-2019 |
| 203 | QTS Realty Trust Inc. | QTS | 3-Jul-2019 |
| 204 | Rambus, Inc. | RMBS | 24-Jun-2019 |
| 205 | Raven Industries Inc. | RAVN | 10-Jul-2019 |
| 206 | RealPage, Inc. | RP | 27-Jun-2019 |
| 207 | Retail Opportunity Investments Corp. | ROIC | 17-Jul-2019 |
| 208 | Rexford Industrial Realty Inc. | REXR | 10-Jul-2019 |
| 209 | RingCentral Inc. | RNG | 15-Jul-2019 |
| 210 | RLJ Lodging Trust | RLJ | 17-Jun-2019 |
| 211 | Rogers Corp. | ROG | 17-Jul-2019 |
| 212 | Roku Inc. | ROKU | 27-Jun-2019 |
| 213 | Sabra Health Care REIT Inc. | SBRA | 3-Jul-2019 |
| 214 | Sally Beauty Holdings Inc. | SBH | 19-Jun-2019 |
| 215 | Sanmina Corp. | SANM | 17-Jul-2019 |
| 216 | Saul Centers Inc. | BFS | 11-Jul-2019 |
| 217 | Scholastic Corporation | SCHL | 27-Jun-2019 |
| 218 | Scientific Games Corporation | SGMS | 19-Jun-2019 |
| 219 | Seaboard Corp. | SEB | 3-Jul-2019 |
| 220 | Seagate Technology Plc. | STX | 25-Jul-2019 |
| 221 | Selective Insurance Group Inc. | SIGI | 11-Jul-2019 |
| 222 | Seritage Growth Properties | SRG | 11-Jul-2019 |
| 223 | Ship Finance International Ltd. | SFL | 11-Jul-2019 |
| 224 | Shutterstock Inc. | SSTK | 11-Jul-2019 |
| 225 | Simmons First National Corp. | SFNC | 8-Jul-2019 |
| 226 | SiteOne Landscape Supply Inc. | SITE | 8-Jul-2019 |
| 227 | Spark Therapeutics Inc. | ONCE | 22-Jul-2019 |
| 228 | Spectrum Brands Holdings Inc. | SPB | 8-Jul-2019 |
| 229 | Speedway Motorsports, Inc. | TRK | 11-Jul-2019 |
| 230 | Stamps.com Inc. | STMP | 24-Jun-2019 |
| 231 | Stanley Black & Decker Inc. | SWK | 19-Jun-2019 |
| 232 | Summit Materials Inc. | SUM | 19-Jul-2019 |
| 233 | Sunstone Hotel Investors Inc. | SHO | 19-Jun-2019 |
| 234 | SurModics, Inc. | SRDX | 19-Jun-2019 |
| 235 | Synnex Corp. | SNX | 21-Jun-2019 |
| 236 | Teck Resources Ltd. | TCK | 10-Jul-2019 |
| 237 | Teledyne Technologies Inc. | TDY | 18-Jul-2019 |
| 238 | Texas Capital Bancshares Inc. | TCBI | 8-Jul-2019 |
| 239 | Theravance Biopharma, Inc. | TBPH | 17-Jul-2019 |
| 240 | Third Point Reinsurance Ltd. Co. | TPRE | 26-Jul-2019 |
| 241 | TJX Companies Inc., The | TJX | 9-Jul-2019 |
| 242 | Travelport Worldwide Ltd. | TVPT | 16-Jul-2019 |
| 243 | TreeHouse Foods Inc. | THS | 20-Jun-2019 |
| 244 | Trex Company, Inc. | TREX | 11-Jul-2019 |
| 245 | TRI Pointe Group, Inc. | TPH | 21-Jun-2019 |
| 246 | TriNet Group Inc. | TNET | 18-Jul-2019 |
| 247 | Tronox Inc. | TROX | 8-Jul-2019 |
| 248 | U.S. Physical Therapy, Inc. | USPH | 17-Jun-2019 |
| 249 | U.S. Silica Holdings Inc. | SLCA | 15-Jul-2019 |
| 250 | UniFirst Corp. | UNF | 24-Jun-2019 |
| 251 | United Continental Holdings, Inc. | UAL | 5-Jul-2019 |
| 252 | United Fire Group Inc. | UFCS | 8-Jul-2019 |
| 253 | United Natural Foods, Inc. | UNFI | 3-Jul-2019 |
| 254 | Univar Inc. | UNVR | 24-Jun-2019 |
| 255 | USG Corporation | USG | 19-Jun-2019 |
| 256 | Value Line, Inc. | VALU | 26-Jun-2019 |
| 257 | Viavi Solutions Inc. | VIAV | 15-Jul-2019 |
| 258 | Washington Real Estate Investment Trust | WRE | 25-Jun-2019 |
| 259 | Watts Water Technologies, Inc. | WTS | 8-Jul-2019 |
| 260 | WEC Energy Group Inc. | WEC | 20-Jun-2019 |
| 261 | WellCare Health Plans Inc. | WCG | 3-Jul-2019 |
| 262 | Wesco Aircraft Holdings, Inc. | WAIR | 19-Jul-2019 |
| 263 | Westamerica Bancorp | WABC | 10-Jul-2019 |
| 264 | Western Union Company, The | WU | 19-Jun-2019 |
| 265 | White Mountains Insurance Group, Ltd. | WTM | 1-Jul-2019 |
| 266 | Xenia Hotels & Resorts Inc. | XHR | 16-Jul-2019 |
| 267 | XL Group Ltd. | XL | 3-Jul-2019 |
| 268 | Zendesk Inc. | ZEN | 22-Jul-2019 |
| 269 | Zions Bancorp | ZION | 15-Jul-2019 |
| 270 | Ziopharm Oncology Inc. | ZIOP | 16-Jul-2019 |
Notes: New SEC investigative activity could theoretically begin or end after the date covered by the latest information in this report, which would not be reflected here. Where applicable, the SEC did not disclose the details on investigations referenced herein. All we know is that they somehow pertain to the conduct, transactions, and/or disclosures of the companies. Companies with undisclosed SEC investigations are maintained on our Watch List of companies with undisclosed SEC investigations. The SEC reminds us that its assertion of the law enforcement exemption should not be construed as an indication by the Commission or its staff that any violations of law have occurred with respect to any person, entity, or security.
