Administrative Proceedings
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
The list below provides links to orders by the Commission instituting both litigated and settled administrative proceedings and to issuances for the Commission, by the Division of Enforcement, pursuant to delegated authority.
| Date Sort descending | Respondents |
|---|---|
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Release No.
34-102246
File Number:
3-22436
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Release No.
34-102233
File Number:
3-22434
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Release No.
33-11357
File Number:
3-22427
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Release No.
33-11358
File Number:
3-22428
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Release No.
33-11359, IA-6830, IC-35453
File Number:
3-22435
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Release No.
34-102230
File Number:
3-22431
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Release No.
34-102236
File Number:
3-20945
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Release No.
33-11354, AAER-4556
File Number:
3-22421
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Release No.
34-102231, IA-6828, AAER-4560
See Also:
Administrative Summary
File Number:
3-22432
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Release No.
34-102224, IA-6825
File Number:
3-22422
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Release No.
IA-6829
File Number:
3-22433
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Release No.
34-102229, IA-6827
File Number:
3-22430
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Release No.
34-102227, AAER-4559
See Also:
Administrative Summary
File Number:
3-22429
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Release No.
34-102225, AAER-4557
See Also:
Administrative Summary
File Number:
3-22424
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Release No.
33-11356, 34-102226, AAER-4558
See Also:
Administrative Summary
File Number:
3-22425
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Release No.
33-11355
See Also:
Administrative Summary
File Number:
3-22423
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Release No.
IA-6826
See Also:
Administrative Summary
File Number:
3-22426
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Release No.
34-102222
File Number:
3-22420
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Release No.
34-102221
File Number:
3-22419
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Release No.
34-102207, IA-6824
File Number:
3-22418
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Release No.
34-102204
File Number:
3-22417
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Release No.
33-11353, 34-102195, AAER-4555
See Also:
Administrative Summary
File Number:
3-22416
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Release No.
33-11352, 34-102177
See Also:
Administrative Summary
File Number:
3-22413
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Release No.
34-102184
File Number:
3-19764
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Release No.
34-102192
See Also:
Administrative Summary
File Number:
3-22415
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Release No.
34-102189
File Number:
3-17385
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Release No.
IA-6823
File Number:
3-22414
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Release No.
34-102176, IA-6822
File Number:
3-22412
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Release No.
34-102175, IA-6821
File Number:
3-22411
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Release No.
34-102174, IA-6820
File Number:
3-22410
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Release No.
IA-6819
File Number:
3-22409
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Release No.
34-102173, IA-6818
File Number:
3-22408
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Release No.
34-102172, IA-6817
File Number:
3-22407
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Release No.
34-102171
File Number:
3-22406
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Release No.
34-102167
File Number:
3-22404
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Release No.
IA-6816
File Number:
3-22403
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Release No.
IA-6815
File Number:
3-22402
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Release No.
IA-6814
File Number:
3-22401
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Release No.
IA-6813
File Number:
3-22400
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Release No.
IA-6812
File Number:
3-22399
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Release No.
34-102170
File Number:
3-22405
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Release No.
34-102160
File Number:
3-22398
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Release No.
34-102157
See Also:
Administrative Summary
File Number:
3-22396
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Release No.
33-11351, 34-102147
File Number:
3-22394
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Release No.
34-102146
See Also:
Administrative Summary
File Number:
3-22393
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Release No.
IA-6811
See Also:
Administrative Summary
File Number:
3-22392
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Release No.
IA-6810
See Also:
Administrative Summary
File Number:
3-22395
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Release No.
34-102142
File Number:
3-22390
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Release No.
34-102143
File Number:
3-22391
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Release No.
34-102141
See Also:
Administrative Summary
File Number:
3-22389
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Release No.
34-102135
File Number:
3-21655
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Release No.
34-102117
File Number:
3-22388
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Release No.
34-102128
File Number:
3-21586
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Release No.
34-102119
File Number:
3-20448
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Release No.
34-102127
File Number:
3-17212
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Release No.
34-102123
File Number:
3-20526
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Release No.
34-102118
See Also:
Plan of Distribution
File Number:
3-20185
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Release No.
34-102088
File Number:
3-22387
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Release No.
34-102060, AAER-4554
File Number:
3-22386
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Release No.
IA-6806
File Number:
3-22385
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Release No.
34-102047, AAER-4553
File Number:
3-22384
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Release No.
34-102031
File Number:
3-22383
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Release No.
33-11349
File Number:
3-22382
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Release No.
34-102021, IA-6805
File Number:
3-22381
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Release No.
IA-6804
See Also:
Administrative Summary
File Number:
3-22380
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Release No.
34-102020, AAER-4552
File Number:
3-20229
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Release No.
34-102019
See Also:
Plan of Distribution
File Number:
3-20954, 3-20955
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Release No.
IA-6802
See Also:
Administrative Summary
File Number:
3-22371
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Release No.
IA-6803
See Also:
Administrative Summary
File Number:
3-22379
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Release No.
33-11348
File Number:
3-22378
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Release No.
33-11347
File Number:
3-22377
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Release No.
33-11346
File Number:
3-22376
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Release No.
34-102011
File Number:
3-22375
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Release No.
34-102008, IA-6799
File Number:
3-22374
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Release No.
34-102009, IA-6800
File Number:
3-22373
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Release No.
34-101996
File Number:
3-22243
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Release No.
34-102001
See Also:
Administrative Summary
File Number:
3-22372
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Release No.
34-101988, AAER-4551
File Number:
3-22370
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Release No.
34-101987, AAER-4550
File Number:
3-22369
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Release No.
34-101986
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Release No.
34-101984
File Number:
3-21211
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Release No.
34-101981
File Number:
3-22368
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Release No.
IA-6798
File Number:
3-22367
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Release No.
34-101972, AAER-4549
See Also:
Administrative Summary
File Number:
3-22366
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Release No.
34-101961
File Number:
3-15635
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Release No.
34-101959
See Also:
Plan of Distribution
File Number:
3-21585
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Release No.
34-101958
File Number:
3-20252, 3-20253
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Release No.
34-101937
See Also:
Administrative Summary
File Number:
3-22364
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Release No.
34-101936
See Also:
Administrative Summary
File Number:
3-22363
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Release No.
34-101934, AAER-4548
File Number:
3-22362
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Release No.
34-101933
File Number:
3-18424
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Release No.
33-11344, 34-101931, AAER-4547
File Number:
3-22361
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Release No.
33-11343, 34-101928
See Also:
Administrative Summary
File Number:
3-22360
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Release No.
34-101926
File Number:
3-22359
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Release No.
34-101924
File Number:
3-22358
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Release No.
34-101904
File Number:
3-22357
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Release No.
33-11340, 34-101903
See Also:
Administrative Summary
File Number:
3-22356
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Release No.
IA-6795
See Also:
Administrative Summary
File Number:
3-22355
|
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Release No.
IA-6794
See Also:
Administrative Summary
File Number:
3-22354
|
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Release No.
IA-6793
See Also:
Administrative Summary
File Number:
3-22353
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