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.
33-7722
File Number:
3-9367
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Release No.
34-41729
File Number:
3-9969
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Release No.
34-41720
File Number:
3-9966
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Release No.
IA-1813
File Number:
3-9755
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Release No.
34-41713
File Number:
3-8531
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Release No.
34-41710
File Number:
3-9965
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Release No.
34-41707, 33-7718
File Number:
3-9962
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Release No.
34-41708, 33-7719
File Number:
3-9963
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Release No.
34-41697
File Number:
3-9961
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Release No.
34-41696
File Number:
3-9665
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Release No.
34-41685
File Number:
3-9947
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Release No.
33-7710
File Number:
3-9950
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Release No.
34-41686
File Number:
3-9948
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Release No.
34-41679, 33-7708
File Number:
3-9944
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Release No.
34-41687, 33-7709
File Number:
3-9949
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Release No.
34-41680
File Number:
3-9945
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Release No.
34-41681
File Number:
3-9946
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|
Release No.
IA-1811
File Number:
3-9953
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Release No.
34-41693, 33-7715
File Number:
3-9957
|
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Release No.
34-41689, 33-7711
File Number:
3-9952
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Release No.
34-41694, 33-7716
File Number:
3-9958
|
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Release No.
34-41690, 33-7712
File Number:
3-9954
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Release No.
34-41695, 33-7717
File Number:
3-9959
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Release No.
34-41691, 33-7713
File Number:
3-9955
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Release No.
34-41692, 33-7714
File Number:
3-9956
|
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Release No.
34-41688
File Number:
3-9951
|
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Release No.
34-41676
File Number:
3-9943
|
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Release No.
34-41665
File Number:
3-9940
|
|
Release No.
34-41667
File Number:
3-9942
|
|
Release No.
34-41656
File Number:
3-9939
|
|
Release No.
33-7706
File Number:
3-9896
|
|
Release No.
33-7705
File Number:
3-9896
|
|
Release No.
34-41639, 33-7704, IA-1810
File Number:
3-9716
|
|
Release No.
33-7701
File Number:
3-9935
|
|
Release No.
33-7702
File Number:
3-9936
|
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Release No.
34-41631, 33-7700
File Number:
3-9934
|
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Release No.
34-41632, 33-7703
File Number:
3-9937
|
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Release No.
34-41616
|
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Release No.
33-7697
File Number:
3-9892
|
|
Release No.
34-41601
File Number:
3-9933
|
|
Release No.
33-7696
File Number:
3-9739
|
|
Release No.
34-41587
File Number:
3-9931
|
|
Release No.
33-7695, 34-41585
|
|
Release No.
33-7694, 34-41579
File Number:
3-9754
|
|
Release No.
34-41580
File Number:
3-9927
|
|
Release No.
34-41581
File Number:
3-9928
|
|
Release No.
34-41584
File Number:
3-9929
|
|
Release No.
34-41578
File Number:
3-9926
|
|
Release No.
34-41574
File Number:
3-9925
|
|
Release No.
IA-1807
File Number:
3-9922
|
|
Release No.
33-7693, 34-41566
File Number:
3-9924
|
|
Release No.
33-7692, 34-41565
|
|
Release No.
34-41559
File Number:
3-9853
|
|
Release No.
34-41554
File Number:
3-9920
|
|
Release No.
34-41537
File Number:
3-9803
|
|
Release No.
34-41505
File Number:
3-9915
|
|
Release No.
IA-1801
File Number:
3-9916
|
|
Release No.
34-41484
File Number:
3-9014
|
|
Release No.
34-41485
File Number:
3-9080
|
|
Release No.
34-41458
File Number:
3-9914
|
|
Release No.
33-7688
File Number:
3-9911
|
|
Release No.
33-7687
File Number:
3-9910
|
|
Release No.
34-41443
File Number:
3-9909
|
|
Release No.
33-7686
File Number:
3-9702
|
|
Release No.
34-41447
File Number:
3-9912
|
|
Release No.
34-41448
File Number:
3-9913
|
|
Release No.
34-41434
File Number:
3-9907
|
|
Release No.
34-41433
File Number:
3-9906
|
|
Release No.
34-41429
File Number:
3-9435
|
|
Release No.
34-41428
File Number:
3-9905
|
|
Release No.
34-41425
File Number:
3-9903
|
|
Release No.
34-41426
File Number:
3-9904
|
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Release No.
34-41424
File Number:
3-9902
|
|
Release No.
34-41416
File Number:
3-9900
|
|
Release No.
34-41417
File Number:
3-9901
|
|
Release No.
34-41409
File Number:
3-9899
|
|
Release No.
34-41405
File Number:
3-9898
|
|
Release No.
33-7682
File Number:
3-9648
|
|
Release No.
33-7683
File Number:
3-9369
|
|
Release No.
33-7676
File Number:
3-9892
|
|
Release No.
33-7677
File Number:
3-9893
|
|
Release No.
33-7680
File Number:
3-9896
|
|
Release No.
33-7681
File Number:
3-9897
|
|
Release No.
33-7678, 34-41388
File Number:
3-9894
|
|
Release No.
33-7679
File Number:
3-9895
|
|
Release No.
IA-1800
File Number:
3-9888
|
|
Release No.
33-7674, 34-41363
File Number:
3-9889
|
|
Release No.
IA-1799
File Number:
3-9887
|
|
Release No.
34-41349
File Number:
3-9885
|
|
Release No.
3441352
See Also:
apst99-1.pdf
|
|
Release No.
34-41345
File Number:
3-9884
|
|
Release No.
33-7672
File Number:
3-9690
|
|
Release No.
34-41332
File Number:
3-9883
|
|
Release No.
IA-1798
File Number:
3-9881
|
|
Release No.
34-41321
|
|
Release No.
34-41316
File Number:
3-9879
|
|
Release No.
33-7670
|
|
Release No.
33-7671
File Number:
3-9880
|
|
Release No.
34-41312
File Number:
3-9877
|
|
Release No.
34-41313
File Number:
3-9878
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