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.
34-96663
File Number:
3-20526
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Release No.
34-96664
File Number:
3-20453
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Release No.
34-96665
See Also:
Proposed Distribution Plan
Comments received are available:
3-20003
Submit Comments on:
3-20003
File Number:
3-20003
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Release No.
34-96659, AAER-4370
File Number:
3-21275
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Release No.
34-96661
File Number:
3-21276
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Release No.
34-96655
File Number:
3-21140
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Release No.
34-96643
File Number:
3-21161
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Release No.
34-96650, IA-6216
File Number:
3-21271
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Release No.
34-96651
File Number:
3-21272
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Release No.
34-96652, AAER-4369
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Release No.
34-96653
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Release No.
34-96620
File Number:
3-21010
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Release No.
34-96627
File Number:
3-21270
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Release No.
33-11144, 34-96610
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Release No.
IA-6211, IC-34795"
File Number:
3-21268
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Release No.
34-96595, IA-6209
File Number:
3-21265
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Release No.
34-96596, IA-96596
File Number:
3-21266
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Release No.
34-96585
See Also:
Administrative Summary
File Number:
3-21264
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Release No.
34-96584
See Also:
Administrative Summary
File Number:
3-21263
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Release No.
34-96578
See Also:
Distribution Plan
File Number:
3-20523
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Release No.
34-96579
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Release No.
34-96576
File Number:
3-21261
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Release No.
34-96573
File Number:
3-21131
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Release No.
34-96558
See Also:
Administrative Summary
File Number:
3-21259
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Release No.
34-96560
File Number:
3-21260
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Release No.
34-96547
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Release No.
34-96549
File Number:
3-21258
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Release No.
34-96552
File Number:
3-20918
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Release No.
34-96540
File Number:
3-21257
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Release No.
34-96529, AAER-4368
File Number:
3-21255
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Release No.
34-96535
See Also:
Administrative Summary
File Number:
3-21256
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Release No.
34-96526, IA-6204
File Number:
3-21254
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Release No.
34-96512
File Number:
3-18897
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Release No.
34-96465
File Number:
3-21252
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Release No.
34-96456
File Number:
3-20988
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Release No.
34-96457
See Also:
Administrative Summary
File Number:
3-21251
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Release No.
IA-6199
File Number:
3-21249
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Release No.
33-11137
See Also:
Administrative Summary
File Number:
3-21250
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Release No.
34-96444
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Release No.
34-96428
See Also:
Distribution Plan
File Number:
3-18897
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Release No.
34-96429
See Also:
Proposed Plan of Distribution
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Release No.
34-96419
File Number:
3-14863
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Release No.
34-96423
See Also:
Proposed Distribution Plan
Comments Due:
30 days from date of this Notice
Submit Comments on:
File No.: 3-19816
File Number:
3-19816
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Release No.
34-96425
File Number:
3-21140
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Release No.
34-96436
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Release No.
34-96437
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Release No.
34-96438
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Release No.
34-96434
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Release No.
34-96435
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Release No.
34-96392, IA-6190
File Number:
3-21247
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Release No.
IA-6189
File Number:
3-21245
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Release No.
34-96379
See Also:
Amended Proposed Distribution Plan
Comments Due:
30 days from date of this Notice
Comments received are available:
https://www.sec.gov/comments/3-20381/3-20381.htm
Submit Comments on:
3-20381
File Number:
3-20381
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Release No.
IA-6188
See Also:
Administrative Summary
File Number:
3-21244
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Release No.
33-11134
File Number:
3-21243
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Release No.
34-96349, AAER-4367
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Release No.
34-96347, AAER-4366
File Number:
3-21241
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Release No.
34-96344
File Number:
3-21061
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Release No.
34-96343
File Number:
3-20995
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Release No.
34-96340
See Also:
Proposed Distribution Plan
Comments Due:
30 days from date of this Notice
Comments received are available:
https://www.sec.gov/comments/3-17582/3-17582.htm
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Release No.
34-96308
File Number:
3-21240
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Release No.
34-96309
File Number:
3-19752
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Release No.
34-96310
See Also:
Distribution Plan
File Number:
3-20030
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Release No.
IA-6185
File Number:
3-21099, 3-21099
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Release No.
33-11133, 34-96299, AAER-4364
File Number:
3-21239
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Release No.
33-11132
See Also:
Administrative Summary
File Number:
3-21238
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Release No.
34-96254
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Release No.
34-96255
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Release No.
34-96253
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Release No.
34-96243
See Also:
Administrative Summary
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Release No.
34-96236
File Number:
3-21231
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Release No.
34-96240
File Number:
3-21233
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Release No.
34-96235, AAER-4363
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Release No.
34-96245
File Number:
3-21235
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Release No.
34-96238, IA-6183
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Release No.
34-96215
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Release No.
IA-6182
File Number:
3-20531, 3-20531
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Release No.
34-96216
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Release No.
34-96217, 34-95046, 34-95047, IA-6044, IA-6045
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Release No.
IA-6181
File Number:
3-21229
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Release No.
34-96207
File Number:
3-21225
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Release No.
33-11129, 34-96193, AAER-4360
See Also:
Administrative Summary
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Release No.
34-96203
File Number:
3-21224
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Release No.
34-96170
File Number:
3-21221
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Release No.
34-96152
File Number:
3-20716
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Release No.
34-96157
File Number:
3-21220
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Release No.
34-96153, AAER-4359
See Also:
Administrative Summary
File Number:
3-21219
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Release No.
33-11123, 34-96137, AAER-4357
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Release No.
33-11124, 34-96138, AAER-4358
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Release No.
34-96145, IA-6173
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Release No.
34-96146, IA-6174
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Release No.
33-11122, 34-96126, AAER-4355
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Release No.
34-96127, AAER-4356
File Number:
3-21214
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Release No.
34-96114
File Number:
3-18968
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Release No.
34-96115
File Number:
3-20963
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Release No.
34-96103
File Number:
3-21211
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Release No.
33-11120, 34-96106
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Release No.
34-96095
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Release No.
34-96067
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Release No.
34-96071, AAER-4354
File Number:
3-17746
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Release No.
34-96072
File Number:
3-21210
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30 days from date of this Notice