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UNITED STATES OF AMERICA BEFORE THE SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No. 56115 / July 20, 2007, ADMINISTRATIVE PROCEEDING File No. 3-11317 : : : Putnam Investment

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What is sec administrative proceeding order?

The SEC administrative proceeding order is an official document issued by the Securities and Exchange Commission (SEC) that outlines a legal action taken against a company or individual for alleged violations of securities laws.

Who is required to file sec administrative proceeding order?

The SEC is responsible for filing administrative proceeding orders against companies or individuals that are suspected of violating securities laws. However, it is the SEC itself that files the administrative proceeding order, not the parties involved.

How to fill out sec administrative proceeding order?

The SEC fills out the administrative proceeding order based on the findings of its investigation into alleged securities law violations. The order includes details about the alleged violations, evidence gathered, and the legal action being taken against the accused party.

What is the purpose of sec administrative proceeding order?

The purpose of the SEC administrative proceeding order is to hold individuals and companies accountable for violating securities laws. It is a way for the SEC to impose penalties, fines, or other disciplinary actions against those who have engaged in illegal activities in the securities market.

What information must be reported on sec administrative proceeding order?

The administrative proceeding order typically includes information such as the name and contact details of the accused party, a description of the alleged violations, evidence gathered during the investigation, and the legal action being taken by the SEC.

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