Administrative Proceedings
The list below provides links to opinions and orders concerning both litigated and settled administrative proceedings instituted by the Commission.
The links below direct you to the docket pages for adjudicatory proceedings – meaning administrative proceedings adjudicated by the Commission including by its consideration of initial decisions of ALJ and appeals from SRO or PCAOB action – as well as to docket pages for respondents’ requests to vacate bars under Koch v. SEC or Bartko v. SEC. The docket pages contain the Commission opinions and orders as well as significant pleadings for such matters. The links below additionally direct you to the electronic filing system for administrative proceedings and to information for respondents in administrative proceedings.
- Litigated AP Case Materials (Open)
- Litigated AP Case Materials (Closed)
- Electronic Filings in Administrative Proceedings (eFAP)
- Information for Respondents in Administrative Proceedings
- Subpoena Form to Produce Documents - Proceeding Before the Commission
- Subpoena Form to Appear and Testify at a Deposition - Proceeding Before the Commission
Date Sort ascending | Respondents |
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Release No.
34-71207
File Number:
3-15664
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Release No.
34-71191, IA-3748
File Number:
3-15663
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Release No.
IA-3747
File Number:
3-15661
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Release No.
34-71185, AAER-3523
File Number:
3-15662
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Release No.
34-71174, AAER-3522
File Number:
3-13709
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Release No.
33-9501, IA-3746
File Number:
3-15660
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Release No.
34-71154, AAER-3520
File Number:
3-15536
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Release No.
34-71161, AAER-3521
File Number:
3-15659
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Release No.
33-9500
File Number:
3-15658
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Release No.
34-71170
File Number:
3-15134, 3-15135
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Release No.
34-71151
File Number:
3-15657
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Release No.
34-71135
File Number:
3-15655
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Release No.
34-71136
File Number:
3-15656
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Release No.
34-71128, IA-3744
File Number:
3-15654
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Release No.
34-71118
File Number:
3-13532
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Release No.
34-71112
File Number:
3-15506
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Release No.
34-71119
See Also:
Proposed Plan of Distribution
File Number:
3-14909
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Release No.
34-71113
File Number:
3-15649
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Release No.
34-71126, IC-30838
File Number:
3-15652
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Release No.
34-71115
File Number:
3-15650
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Release No.
34-71110
File Number:
3-15497
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Release No.
34-71127, IC-30839
File Number:
3-15653
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Release No.
34-71117, AAER-3519
File Number:
3-15651
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Release No.
34-71111
File Number:
3-15499
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Release No.
IA-3740
File Number:
3-15647
|
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Release No.
34-71109, IA-3741
File Number:
3-15648
|
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Release No.
34-71097, IC-30834
File Number:
3-15646
|
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Release No.
34-71072
File Number:
3-15596
|
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Release No.
33-9495, 34-71075, IA-3739, IC-30831
File Number:
3-15249
|
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Release No.
34-71070, IA-3738, AAER-3518
File Number:
3-15645
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Release No.
33-9493, 34-71051
File Number:
3-15642
|
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Release No.
IA-3735, IC-30828
File Number:
3-15643
|
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Release No.
34-71065
File Number:
3-15438
|
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Release No.
34-71069, IA-3737, IC-30829
File Number:
3-15644
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Release No.
34-71050, AAER-3516
File Number:
3-15641
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Release No.
34-71031, AAER-3515
File Number:
3-15638
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Release No.
34-71043, IA-3734
File Number:
3-15639
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Release No.
34-71049
File Number:
3-15640
|
|
Release No.
34-71026
File Number:
3-15517
|
|
Release No.
34-71012
File Number:
3-15637
|
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Release No.
34-70987
File Number:
3-15636
|
|
Release No.
34-70989, IA-3732, IC-30818
File Number:
3-15255
|
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Release No.
34-70973
File Number:
3-15632
|
|
Release No.
34-70975
File Number:
3-15633
|
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Release No.
34-70980, IA-3731
File Number:
3-15634
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Release No.
33-9490, 34-70983, AAER-3514
File Number:
3-15635
|
|
Release No.
34-70965, 34-70573
See Also:
Proposed Distribution Plan
File Number:
3-14641
|
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Release No.
IA-3730
File Number:
3-15631
|
|
Release No.
IA-3729
File Number:
3-15630
|
|
Release No.
33-9488, IA-3728, IC-30814
File Number:
3-15629
|
|
Release No.
34-70959
File Number:
3-15628
|
|
Release No.
34-70944, IA-3726, IC-30810
File Number:
3-15626
|
|
Release No.
IA-3727
File Number:
3-15627
|
|
Release No.
IA-3725, IC-30809
File Number:
3-15625
|
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Release No.
33-9485
File Number:
3-15621
|
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Release No.
34-70938, IA-3724
File Number:
3-15623
|
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Release No.
34-70939
File Number:
3-15624
|
|
Release No.
IA-3723
File Number:
3-15622
|
|
Release No.
33-9484, 34-70934, IA-3722, IC-30805
File Number:
3-15003
|
|
Release No.
33-9482, 34-70923
File Number:
3-15619
|
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Release No.
34-70920
File Number:
3-15469
|
|
Release No.
34-70921
File Number:
3-15618
|
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Release No.
34-70931
File Number:
3-15620
|
|
Release No.
33-9480, 34-70904
File Number:
3-15211
|
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Release No.
33-9481, 34-70908, IA-3720, IC-30802
File Number:
3-15617
|
|
Release No.
IA-3719
File Number:
3-15616
|
|
Release No.
34-70896
File Number:
3-15615
|
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Release No.
IA-3718
File Number:
3-15614
|
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Release No.
34-70870
File Number:
3-15517
|
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Release No.
34-70867
File Number:
3-15612
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Release No.
33-9477, 34-70868, IC-30783
File Number:
3-15613
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Release No.
IA-3713
File Number:
3-15610
|
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Release No.
IA-3714
File Number:
3-15611
|
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Release No.
34-70825
File Number:
3-11701
|
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Release No.
IA-3712
File Number:
3-15608
|
|
Release No.
34-70823, AAER-3512
File Number:
3-15609
|
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Release No.
34-70814
File Number:
3-15606
|
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Release No.
33-9471
File Number:
3-15602
|
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Release No.
33-9472, 34-70804
File Number:
3-15603
|
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Release No.
IA-3710
File Number:
3-15604
|
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Release No.
34-70813
File Number:
3-15605
|
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Release No.
34-70815
File Number:
3-15607
|
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Release No.
34-70796
File Number:
3-15517
|
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Release No.
IA-3709
File Number:
3-15381
|
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Release No.
34-70786
File Number:
3-15598
|
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Release No.
34-70790
File Number:
3-15599
|
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Release No.
34-70783
File Number:
3-15596
|
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Release No.
34-70785
File Number:
3-15597
|
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Release No.
34-70779
File Number:
3-15595
|
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Release No.
34-70780
File Number:
3-15507
|
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Release No.
34-70777, IA-3708, IC-30772
|
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Release No.
34-70778
File Number:
3-15594
|
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Release No.
34-70768
File Number:
3-15592
|
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Release No.
34-70770
File Number:
3-15593
|
|
Release No.
34-70767, AAER-3511
File Number:
3-15591
|
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Release No.
IA-3705, IC-30766
File Number:
3-15588
|
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Release No.
IA-3706
File Number:
3-15589
|
|
Release No.
34-70759, IA-3707, IC-30767
File Number:
3-15590
|
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Release No.
34-70750
File Number:
3-15515
|
|
Release No.
34-70751
File Number:
3-15587
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