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Screen official SEC litigation releases, administrative proceedings, and Accounting and Auditing Enforcement Releases (AAERs) to build a diligence or monitoring queue. The route answers a narrow question: which published actions match this issuer, respondent, conduct category, date range, or reported penalty range?

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Start with a bounded screening query

The response is a paginated list of action records. Record the release number, release URL, publication date, source family, requestId, and any returned trace, provenance, or freshness fields with the review item. Read the release before drawing a conclusion about facts, respondents, remedies, or legal status.

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Route and inputs

Use source_type for one source family and issuer or respondent filters for a known subject. Reuse the returned cursor only while the complete filter set stays unchanged.

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Coverage and evidence boundaries

  • Coverage is limited to the three documented SEC source families. No result is not evidence that the SEC has never acted against a person or issuer.
  • publishedAt is the publication date from the source record; it is not necessarily the date of the alleged conduct, order, settlement, or payment.
  • violation_type is a normalized classifier, not a legal conclusion. other can represent supported actions outside the named categories.
  • A reported penalty is extracted data. A missing value does not mean a zero-dollar penalty.

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Next action

Open the returned release, capture the source record with the action ID, and resolve ambiguous issuer or respondent names before linking the result to a filing or ownership workflow.