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.
34-43725, AAER-1351
File Number:
3-10389
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Release No.
34-43724, AAER-1350
File Number:
3-10388
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Release No.
33-7927
File Number:
3-9930
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Release No.
34-43715, AAER-1353
File Number:
3-10315
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Release No.
34-43722, IA-1914
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Release No.
34-43712
File Number:
3-10385
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Release No.
34-43708
File Number:
3-10381
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Release No.
34-43713
File Number:
3-10386
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Release No.
34-43709
File Number:
3-10382
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Release No.
34-43710
File Number:
3-10383
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Release No.
34-43711
File Number:
3-10384
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Release No.
34-43703
File Number:
3-9256
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Release No.
33-7926
File Number:
3-9897
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Release No.
34-43702
File Number:
3-10380
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Release No.
34-43693
File Number:
3-10379
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Release No.
34-43687
File Number:
3-10378
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Release No.
34-43682, AAER-1349
File Number:
3-10377
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Release No.
34-43681
File Number:
3-10376
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Release No.
34-43673
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Release No.
34-43674
File Number:
3-10375
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Release No.
33-7925, 34-43669
File Number:
3-10373
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Release No.
34-43670
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Release No.
34-43672
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Release No.
34-43663
File Number:
3-9949
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Release No.
34-43661
File Number:
3-10374
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Release No.
33-7924, 34-43662
File Number:
3-9949
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Release No.
33-7922, 34-43650
File Number:
3-10371
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Release No.
34-43649
File Number:
3-10370
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Release No.
33-7923, 34-43656
File Number:
3-10372
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Release No.
34-43644
File Number:
3-10213
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Release No.
34-43633
File Number:
3-10363
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Release No.
34-43622, AAER-1348
File Number:
3-10141
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Release No.
33-7921, 34-43610, AAER-1347
File Number:
3-10369
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Release No.
33-7920, 34-43609, AAER-1346
File Number:
3-10368
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Release No.
34-43578
File Number:
3-10367
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Release No.
33-7918, 34-43579
File Number:
3-10140
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Release No.
33-7916, 34-43571, AAER-1344
File Number:
3-10365
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Release No.
33-7917, 34-43572, AAER-1345
File Number:
3-10366
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Release No.
34-43569
File Number:
3-8955
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Release No.
34-43570, AAER-1343
File Number:
3-10364
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Release No.
33-7914, 34-43561, IA-1908, IC-24738
File Number:
3-10142
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Release No.
33-7915, 34-43562, IA-1909, IC-24739
File Number:
3-10142
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Release No.
34-43560
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Release No.
34-43531, AAER-1341
File Number:
3-10357
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Release No.
34-43532, AAER-1342
File Number:
3-10358
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Release No.
34-43503
File Number:
3-9671
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Release No.
34-43497, AAER-1338
File Number:
3-10354
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Release No.
34-43498, AAER-1339
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Release No.
34-43486
File Number:
3-10353
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Release No.
34-43478
File Number:
3-10352
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Release No.
34-43472
File Number:
3-10351
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Release No.
34-43466
File Number:
3-10350
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Release No.
34-43450
File Number:
3-9906
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Release No.
34-43449
File Number:
3-9906
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Release No.
34-43445, AAER-1334
File Number:
3-10347
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Release No.
34-43446, AAER-1336
File Number:
3-10348
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Release No.
34-43434
File Number:
3-10206
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Release No.
34-43432
File Number:
3-10345
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Release No.
34-43433
File Number:
3-10346
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Release No.
34-43431
File Number:
3-10150
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Release No.
33-7910, 34-43428
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Release No.
33-7909, 34-43425
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Release No.
34-43422
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Release No.
34-43423
File Number:
3-10200
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Release No.
34-43416, AAER-1332
File Number:
3-10343
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Release No.
33-7908, 34-43400
File Number:
3-10341
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Release No.
33-7904, 34-43387
File Number:
3-10331
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Release No.
34-43390, IA-1903
File Number:
3-10334
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Release No.
34-43385
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Release No.
34-43392
File Number:
3-10336
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Release No.
33-7905, 34-43397
File Number:
3-10338
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Release No.
34-43391, AAER-1323
File Number:
3-10335
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Release No.
34-43386
File Number:
3-10328
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Release No.
34-43393
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Release No.
33-7906, 34-43398
File Number:
3-10339
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Release No.
IA-1901
File Number:
3-10329
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Release No.
34-43388, AAER-1321
File Number:
3-10332
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Release No.
33-7907, 34-43399
File Number:
3-10340
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Release No.
IA-1902
File Number:
3-10330
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Release No.
34-43389, AAER-1322
File Number:
3-10333
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Release No.
34-43378
File Number:
3-10323
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Release No.
34-43373
File Number:
3-10320
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Release No.
34-43379
File Number:
3-10324
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Release No.
IA-1899, IC-24668
File Number:
3-10319
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Release No.
34-43381
File Number:
3-10325
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Release No.
34-43374
File Number:
3-10321
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Release No.
34-43382
File Number:
3-10326
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Release No.
34-43375
File Number:
3-10322
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Release No.
34-43372
File Number:
3-10318
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Release No.
34-43361, AAER-1317
File Number:
3-10316
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Release No.
34-43357, AAER-1313
File Number:
3-10311
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Release No.
34-43362, AAER-1318
File Number:
3-10315
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Release No.
33-7902, 34-43358, AAER-1314
File Number:
3-10312
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Release No.
33-7903, 34-43366, AAER-1319
File Number:
3-10317
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Release No.
34-43359, AAER-1315
File Number:
3-10313
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Release No.
34-43360, AAER-1316
File Number:
3-10314
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Release No.
34-43352
File Number:
3-10306
|
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Release No.
33-7897, 34-43345, AAER-1311
File Number:
3-10303
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Release No.
33-7899, 34-43353
File Number:
3-10307
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Release No.
34-43349
File Number:
3-10026
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