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.
34-99942
File Number:
3-21103
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Release No.
34-99941
File Number:
3-17956
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Release No.
34-99936
File Number:
3-21877
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Release No.
34-99933
File Number:
3-21863
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Release No.
34-99930, AAER-4497
File Number:
3-21905
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Release No.
34-99928
File Number:
3-21904
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Release No.
34-99927
File Number:
3-21903
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Release No.
34-99926
File Number:
3-21902
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Release No.
34-99904
See Also:
Plan of Distribution
File Number:
3-16729
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Release No.
34-99903
File Number:
3-21901
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Release No.
34-99901
File Number:
3-21816
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Release No.
34-99900
File Number:
3-21836
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Release No.
34-99899
See Also:
Plan of Distribution
File Number:
3-20963
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Release No.
34-99898
File Number:
3-20087, 3-20088
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Release No.
34-99897
File Number:
3-21717
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Release No.
IA-6581
File Number:
3-21900
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Release No.
34-99896
See Also:
Order Instituting Proceedings
File Number:
3-21762
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Release No.
34-99895
File Number:
3-21355
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Release No.
34-99894, IA-6580
File Number:
3-21899
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Release No.
34-99886
File Number:
3-21837
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Release No.
34-99882
File Number:
3-21898
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Release No.
34-99832
See Also:
Administrative Summary
File Number:
3-21897
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Release No.
34-99779
See Also:
Amended Proposed Distribution Plan
File Number:
3-20003
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Release No.
34-99764
File Number:
3-21896
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Release No.
34-99756
File Number:
3-21868
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Release No.
IA-6574
File Number:
3-21895
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Release No.
IA-6573
File Number:
3-21894
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Release No.
34-99720
See Also:
Proposed Distribution Plan
Submit Comments on:
Notice of Proposed Plan of Distribution and Opportunity for Comment
File Number:
3-20906
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Release No.
34-99711
File Number:
3-20211
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Release No.
34-99693
File Number:
3-21893
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Release No.
34-99688
See Also:
Plan of Distribution
File Number:
3-20393
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Release No.
IA-6568
See Also:
Adminsitrative Summary
File Number:
3-21892
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Release No.
34-99676
See Also:
Administrative Summary
File Number:
3-21891
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Release No.
34-99675
File Number:
3-21890
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Release No.
34-99674
File Number:
3-21889
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Release No.
34-99673
File Number:
3-21888
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Release No.
34-99672
File Number:
3-21887
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Release No.
34-99666
File Number:
3-21886
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Release No.
34-99661
File Number:
3-21885
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Release No.
34-99660
File Number:
3-21884
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Release No.
34-99659, IA-6565
File Number:
3-21883
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Release No.
34-99656
File Number:
3-21882
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Release No.
34-99651
File Number:
3-21881
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Release No.
34-99648
File Number:
3-21877
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Release No.
34-99649
File Number:
3-21878
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Release No.
34-99650
File Number:
3-21879
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Release No.
34-99638, AAER-4491
File Number:
3-21876
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Release No.
33-11274, 34-99637, AAER-4490
File Number:
3-21875
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Release No.
34-99631
File Number:
3-21873
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Release No.
34-99632
File Number:
3-21874
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Release No.
34-99629
File Number:
3-21871
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Release No.
34-99630
File Number:
3-21872
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Release No.
34-99628
File Number:
3-21870
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Release No.
34-99627
File Number:
3-21869
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Release No.
34-99626
File Number:
3-21868
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Release No.
34-99618
File Number:
3-21766
|
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Release No.
34-99617
File Number:
3-21610, 3-21612, 3-21613, 3-21614, 3-21615, 3-21616
|
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Release No.
34-99616
File Number:
3-21867
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Release No.
34-99615
File Number:
3-21866
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Release No.
34-99612
File Number:
3-21865
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Release No.
34-99611
File Number:
3-21864
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Release No.
34-99608
File Number:
3-21863
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Release No.
34-99607
File Number:
3-21862
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Release No.
34-99605
File Number:
3-21861
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Release No.
34-99590
File Number:
3-21295
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Release No.
34-99589
File Number:
3-21816
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Release No.
34-99587
File Number:
3-18408
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Release No.
34-99586
File Number:
3-11987
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Release No.
34-99579
File Number:
3-20401
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Release No.
34-99578
See Also:
Administrative Summary
File Number:
3-21860
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Release No.
33-11271
See Also:
Administrative Summary
File Number:
3-21858
|
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Release No.
34-99560, IA-6561
File Number:
3-21859
|
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Release No.
34-99549, IA-6559
File Number:
3-21856
|
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Release No.
IC-35132, IA-6560
File Number:
3-21857
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Release No.
IA-6558
File Number:
3-21855
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Release No.
34-99541
File Number:
3-17899, 3-17900
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Release No.
34-99517
File Number:
3-20455
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Release No.
34-99516
File Number:
3-19899, 3-19900, 3-19901, 3-19902
|
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Release No.
34-99505
File Number:
3-21854
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Release No.
34-99504, IA-6552
File Number:
3-21853
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Release No.
34-99503
File Number:
3-21852
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Release No.
34-99502, IA-6551
File Number:
3-21851
|
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Release No.
34-99501, IA-6550
File Number:
3-21850
|
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Release No.
34-99500, IA-6549
File Number:
3-21849
|
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Release No.
34-99499, IA-6548
File Number:
3-21848
|
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Release No.
34-99498, IA-6547
File Number:
3-21847
|
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Release No.
34-99496
File Number:
3-21846
|
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Release No.
34-99494
See Also:
Amended Plan of Distribution
File Number:
3-20855
|
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Release No.
34-99492, AAER-4488
File Number:
3-18344
|
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Release No.
33-11269
File Number:
3-21845
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Release No.
34-99483, AAER-4487
File Number:
3-21844
|
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Release No.
34-99478, IA-6543
File Number:
3-21843
|
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Release No.
34-99469
See Also:
Proposed Plan of Distribution
Submit Comments on:
Notice of Proposed Plan of Distribution and Opportunity for Comment
File Number:
3-16729, 3-18110
|
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|
Release No.
34-99468
File Number:
3-19899, 3-19900, 3-19901, 3-19902
|
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Release No.
34-99467
File Number:
3-21140, 3-21141
|
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Release No.
34-99466
File Number:
3-21602
|
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|
Release No.
34-99465
See Also:
Proposed Plan of Distribution
Comments Due:
Thirty (30) days from the date of this Notice
Submit Comments on:
Notice of Proposed Plan of Distribution and Opportunity for Comment
File Number:
3-20963
|
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Release No.
34-99464
File Number:
3-20162
|
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Release No.
IA-6541
File Number:
3-20235
|
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|
Release No.
IA-6540, IC-35123
See Also:
Administrative Summary
File Number:
3-21842
|
30 days from date of this Notice