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SEC launches new enforcement action search tool for investors

Joe Mont | May 3, 2018

The Securities and Exchange Commission has announced the launch of a new, online search feature that enables investors to research whether the person trying to sell them investments has a judgment or order entered against him in an enforcement action.

The database is intended to assist the public in making informed investment decisions and avoiding financial fraud. 

The SEC Action Lookup for Individuals (or SALI), announced on May 2, is intended to help identify registered and unregistered individuals who have been parties to past enforcement actions and against whom federal courts have entered judgments or the Commission has issued orders. 

“One of the SEC’s most important tasks is to arm our investors with the tools necessary to identify potential fraudsters. An important...

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