| 4317 | 2161 | SOX | State Compliance achieved | 19-AUG-2025 | State | - |
| 4317 | 2162 | SOX | State Compliance achieved | 19-AUG-2025 | State | - |
| 4313 | 2160 | SOX | State Compliance achieved | 15-AUG-2023 | State | - |
| 4313 | 2159 | SOX | State Compliance achieved | 15-AUG-2023 | State | - |
| 4310 | 2141 | SIE | State Public Notification requested | 28-OCT-2022 | State | - |
| 4310 | 2155 | SIE | State Public Notification requested | 28-OCT-2022 | State | - |
| 4310 | 2151 | SIE | State Public Notification requested | 28-OCT-2022 | State | - |
| 4310 | 2150 | SIE | State Public Notification requested | 28-OCT-2022 | State | - |
| 4310 | 2149 | SIE | State Public Notification requested | 28-OCT-2022 | State | - |
| 4310 | 2148 | SIE | State Public Notification requested | 28-OCT-2022 | State | - |
| 4310 | 2146 | SIE | State Public Notification requested | 28-OCT-2022 | State | - |
| 4310 | 2144 | SIE | State Public Notification requested | 28-OCT-2022 | State | - |
| 4310 | 2143 | SIE | State Public Notification requested | 28-OCT-2022 | State | - |
| 4310 | 2142 | SIE | State Public Notification requested | 28-OCT-2022 | State | - |
| 4310 | 2140 | SIE | State Public Notification requested | 28-OCT-2022 | State | - |
| 4310 | 2139 | SIE | State Public Notification requested | 28-OCT-2022 | State | - |
| 4310 | 2138 | SIE | State Public Notification requested | 28-OCT-2022 | State | - |
| 4310 | 2136 | SIE | State Public Notification requested | 28-OCT-2022 | State | - |
| 4310 | 2135 | SIE | State Public Notification requested | 28-OCT-2022 | State | - |
| 4310 | 2134 | SIE | State Public Notification requested | 28-OCT-2022 | State | - |
| 4310 | 2133 | SIE | State Public Notification requested | 28-OCT-2022 | State | - |
| 4310 | 2129 | SIE | State Public Notification requested | 28-OCT-2022 | State | - |
| 4310 | 2116 | SIE | State Public Notification requested | 28-OCT-2022 | State | - |
| 4310 | 2115 | SIE | State Public Notification requested | 28-OCT-2022 | State | - |
| 4308 | 1301 | SOX | State Compliance achieved | 01-MAR-2008 | State | This Enforcement Action was created by an Automatic Return To Compliance program. |
| 3704 | 2104 | SOX | State Compliance achieved | 14-NOV-2003 | State | - |
| 3202 | 1802 | SOX | State Compliance achieved | 05-SEP-2002 | State | Old External System Number: 93805 |
| 2802 | 1702 | SOX | State Compliance achieved | 30-AUG-2002 | State | Old External System Number: 93454 |
| 2402 | 1602 | SOX | State Compliance achieved | 22-APR-2002 | State | Old External System Number: 86343 |
| 2102 | 1502 | SOX | State Compliance achieved | 24-OCT-2001 | State | Old External System Number: 77501 |
| 2001 | 1401 | SFJ | State Formal Notice of Violation issued | 29-MAY-2001 | State | Old External System Number: 71243 |
| 1701 | 1201 | SFJ | State Formal Notice of Violation issued | 17-NOV-2000 | State | Old External System Number: 63287 |
| 1499 | 1099 | SIA | State Violation/Reminder Notice | 20-JAN-1999 | State | Old External System Number: 50103 |
| 1599 | 1199 | SIA | State Violation/Reminder Notice | 20-JAN-1999 | State | Old External System Number: 50089 |
| 1399 | 999 | SIE | State Public Notification requested | 05-JAN-1999 | State | Old External System Number: 50081 |
| 1299 | 297 | SIA | State Violation/Reminder Notice | 22-DEC-1998 | State | Old External System Number: 50073 |
| 4199 | 899 | SOX | State Compliance achieved | 30-NOV-1998 | State | - |
| 1099 | 699 | SIE | State Public Notification requested | 09-NOV-1998 | State | Old External System Number: 50030 |
| 999 | 498 | SIA | State Violation/Reminder Notice | 26-OCT-1998 | State | Old External System Number: 50006 |
| 4098 | 799 | SOX | State Compliance achieved | 30-SEP-1998 | State | - |
| 798 | 598 | SIE | State Public Notification requested | 03-NOV-1997 | State | Old External System Number: 50020 |
| 497 | 397 | SIA | State Violation/Reminder Notice | 21-JAN-1997 | State | Old External System Number: 50024 |
| 296 | 196 | SIA | State Violation/Reminder Notice | 01-FEB-1996 | State | Old External System Number: 50101 |