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.
34-36735
File Number:
3-8930
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Release No.
34-36736
File Number:
3-8931
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Release No.
34-34724
File Number:
3-8928
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Release No.
IA-1547
File Number:
3-8924
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Release No.
IA-1546
File Number:
3-8923
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Release No.
34-36713
File Number:
3-8662
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Release No.
34-36699
File Number:
3-8920
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Release No.
34-36700
File Number:
3-8921
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Release No.
34-36694
File Number:
3-8917
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Release No.
34-36695
File Number:
3-8918
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Release No.
34-36696
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Release No.
34-36679
File Number:
3-8916
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Release No.
34-36678
File Number:
3-8915
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Release No.
34-36673
File Number:
3-8914
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Release No.
34-36669
File Number:
3-8910
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Release No.
34-36670
File Number:
3-8911
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Release No.
34-36672
File Number:
3-8913
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Release No.
IA-1544
File Number:
3-8904
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Release No.
34-36641
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Release No.
34-36642
File Number:
3-8903
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Release No.
34-36608
File Number:
3-8900
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Release No.
34-36614
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Release No.
IA-1541
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Release No.
34-36561
File Number:
3-8892
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Release No.
34-36560
File Number:
3-8891
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Release No.
34-36553
File Number:
3-8836
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Release No.
34-36554
File Number:
3-8780
|
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Release No.
7245;34-36520;3-8887
File Number:
3-8887
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Release No.
7244;34-36519;3-8886
File Number:
3-8886
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Release No.
IA-1538
File Number:
3-8884
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Release No.
34-36471
File Number:
3-8615
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Release No.
34-36463
File Number:
3-8708
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Release No.
IA-1534
File Number:
3-8881
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Release No.
34-36459
File Number:
3-8880
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Release No.
34-36454
File Number:
3-8878
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Release No.
33-7239
File Number:
3-8877
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Release No.
IC-1533
File Number:
3-8874
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Release No.
34-36438
File Number:
3-8875
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Release No.
34-36446
File Number:
3-8876
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Release No.
34-36433
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Release No.
34-36419
File Number:
3-8872
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Release No.
34-36408
File Number:
3-8790
|
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Release No.
34-36382
File Number:
3-8867
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Release No.
34-36366
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Release No.
34-36357
File Number:
3-8866
|
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Release No.
34-36338
File Number:
3-8865
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Release No.
34-36333
File Number:
3-8863
|
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Release No.
34-36334
File Number:
3-8864
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Release No.
34-36247;3-8818
File Number:
3-8818
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