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.
| Date Sort ascending | Respondents |
|---|---|
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Release No.
34-94779
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Release No.
34-94785
File Number:
3-20718
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Release No.
34-94786, AAER-4297
File Number:
3-20830
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Release No.
34-94768
File Number:
3-14982
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Release No.
34-94769
File Number:
3-20829
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Release No.
34-94760
File Number:
3-20826
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Release No.
IA-5999
File Number:
3-20827
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Release No.
IA-6000
File Number:
3-20828
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Release No.
34-94756
File Number:
3-20757
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Release No.
34-94752
File Number:
3-20455
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Release No.
34-94757, AAER-4295
File Number:
3-19914
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Release No.
34-94753
File Number:
3-20781
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Release No.
34-94758
See Also:
Proposed Distribution Plan
Comments received are available:
https://www.sec.gov/comments/3-19991/3-19991.htm
File Number:
3-19991
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Release No.
34-94754
File Number:
3-20783
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Release No.
34-94759
See Also:
Proposed Distribution Plan
File Number:
3-19716
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Release No.
34-94755
File Number:
3-20782
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Release No.
33-11053
See Also:
Administrative Summary
File Number:
3-20825
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Release No.
34-94727
File Number:
3-20737
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Release No.
33-11052, 34-94742, AAER-4294
File Number:
3-20824
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Release No.
IA-5997
File Number:
3-20822
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Release No.
34-94734, IA-5998
File Number:
3-20823
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Release No.
34-94714, AAER-4292
See Also:
Litigation Release
File Number:
3-20821
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Release No.
34-94685
File Number:
3-20090
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Release No.
34-94703
See Also:
Administrative Summary
File Number:
3-20820
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Release No.
34-94658
File Number:
3-20814
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Release No.
34-94659
File Number:
3-20815
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Release No.
34-94660
File Number:
3-20816
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Release No.
34-94661
File Number:
3-20817
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Release No.
34-94656
File Number:
3-20813
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Release No.
34-94623
File Number:
3-20060
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Release No.
34-94627
File Number:
3-19597
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Release No.
34-94628
See Also:
Distribution Plan
File Number:
3-20537
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Release No.
33-11050
See Also:
Administrative Summary
File Number:
3-20809
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Release No.
34-94591
See Also:
Administrative Summary
File Number:
3-20810
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Release No.
34-94576
File Number:
3-20807
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Release No.
34-94570, IA-5989, AAER-4291
See Also:
Administrative Summary
File Number:
3-20395
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Release No.
34-94553
File Number:
3-20690
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Release No.
IA-5987
See Also:
Administrative Summary
File Number:
3-20806
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Release No.
34-94525
File Number:
3-20003
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Release No.
33-11045, 34-94535, IA-5984, IC-34545
File Number:
3-20805
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Release No.
34-94510
See Also:
Distribution Plan
File Number:
3-19334
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Release No.
34-94493, AAER-4290
File Number:
3-14177
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Release No.
34-94500
File Number:
3-20804
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Release No.
34-94488
File Number:
3-20803
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Release No.
34-94480
See Also:
Proposed Distribution Plan
File Number:
3-20310
|
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Release No.
34-94477, IA-5979
File Number:
3-20726
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Release No.
34-94426, AAER-4289
File Number:
3-20800
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Release No.
33-11040
See Also:
Administrative Summary
File Number:
3-20801
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Release No.
33-11039, 34-94425
File Number:
3-20799
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Release No.
34-94424
File Number:
3-20537
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Release No.
34-94410, AAER-4288
See Also:
Administrative Summary
File Number:
3-20794
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Release No.
34-94413
File Number:
3-20797
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Release No.
34-94414
File Number:
3-20798
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Release No.
34-94411, IA-5977
File Number:
3-20795
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Release No.
34-94412, IA-5978
File Number:
3-20796
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Release No.
34-94387
File Number:
3-20733
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Release No.
34-94380
File Number:
3-20523
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Release No.
34-94381
File Number:
3-19816
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Release No.
IA-5975
File Number:
3-20791
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Release No.
IA-5976
File Number:
3-20792
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Release No.
IA-5974
File Number:
3-20790
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Release No.
34-94352, IA-5973
File Number:
3-20789
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Release No.
34-94360
See Also:
Distribution Plan
File Number:
3-20150
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Release No.
34-94350
File Number:
3-20788
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Release No.
33-11036, 34-94341, IA-5971, IC-34520
See Also:
Administrative Summary
File Number:
3-20786
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Release No.
33-11037, IA-5972, IC-34521
See Also:
Administrative Summary
File Number:
3-20787
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Release No.
34-94323
See Also:
Proposed Distribution Plan
Comments received are available:
https://www.sec.gov/comments/3-20165/3-20165.htm
File Number:
3-20165
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Release No.
34-94326
See Also:
Distribution Plan
File Number:
3-20089
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Release No.
34-94320
File Number:
3-19716
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Release No.
34-94322
File Number:
3-20710
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Release No.
34-94318, AAER-4287
File Number:
3-17112
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Release No.
33-11035, 34-94317
File Number:
3-20785
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Release No.
34-94312
File Number:
3-17614
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Release No.
IA-5970
See Also:
Administrative Summary
File Number:
3-20784
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Release No.
34-94306
File Number:
3-20721
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Release No.
34-94303
File Number:
3-20723
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Release No.
34-94299
File Number:
3-20719
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Release No.
34-94300
File Number:
3-16729
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Release No.
33-11033, 34-94295, AAER-4284
File Number:
3-20782
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Release No.
33-11034, 34-94296, AAER-4285
File Number:
3-20783
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Release No.
33-11032, 34-94294, AAER-4283
File Number:
3-20781
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Release No.
34-94285
See Also:
Distribution Plan
File Number:
3-19704
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Release No.
34-94276
File Number:
3-20779
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Release No.
34-94279
File Number:
3-20780
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Release No.
34-94269
File Number:
3-20777
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Release No.
34-94275
File Number:
3-20778
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Release No.
34-94268
File Number:
3-20776
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Release No.
34-94267
File Number:
3-20775
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Release No.
IA-5964
File Number:
3-20765
|
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Release No.
34-94249
File Number:
3-20772
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Release No.
34-94245
File Number:
3-20768
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Release No.
IA-5965
File Number:
3-20766
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Release No.
34-94250
File Number:
3-20773
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Release No.
34-94246
File Number:
3-20769
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Release No.
IA-5966
File Number:
3-20767
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Release No.
IA-5962
File Number:
3-20763
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Release No.
34-94247
File Number:
3-20770
|
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Release No.
IA-5967
File Number:
3-20774
|
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Release No.
IA-5963
File Number:
3-20764
|
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Release No.
34-94248
File Number:
3-20771
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