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.
34-40061
File Number:
3-9618
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Release No.
34-40049, IC-23229
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Release No.
33-7543, 34-40027
File Number:
3-9391
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Release No.
33-7542, 34-40023
File Number:
3-9544
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Release No.
34-40011
File Number:
3-8206
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Release No.
33-7540, 34-40012
File Number:
3-9523
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Release No.
34-40002
File Number:
3-9607
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Release No.
34-39993
File Number:
3-9605
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Release No.
34-39994
File Number:
3-8330
|
|
Release No.
34-39984
File Number:
3-9603
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Release No.
33-7538, 34-39971
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Release No.
34-39968
|
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Release No.
34-39961
File Number:
3-9600
|
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Release No.
34-39950
File Number:
3-9598
|
|
Release No.
33-7537
File Number:
3-9542
|
|
Release No.
33-7536
File Number:
3-9542
|
|
Release No.
33-7535
File Number:
3-9542
|
|
Release No.
33-7533, 34-39949
File Number:
3-9597
|
|
Release No.
33-7532
|
|
Release No.
IA-1720
File Number:
3-9599
|
|
Release No.
34-39943
File Number:
3-9357
|
|
Release No.
33-7531, 34-39932
File Number:
3-9595
|
|
Release No.
34-39931
File Number:
3-9594
|
|
Release No.
33-7530, 34-39929
File Number:
3-9591
|
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Release No.
34-39930
File Number:
3-9592
|
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Release No.
34-39926
File Number:
3-9590
|
|
Release No.
33-7528
File Number:
3-9586
|
|
Release No.
33-7529
File Number:
3-9587
|
|
Release No.
34-39921
File Number:
3-9589
|
|
Release No.
34-39917
File Number:
3-9497
|
|
Release No.
34-39919
File Number:
3-9588
|
|
Release No.
33-7527
File Number:
3-9585
|
|
Release No.
IA-1717
File Number:
3-9584
|
|
Release No.
33-7526
File Number:
3-9583
|
|
Release No.
33-7525
File Number:
3-9582
|
|
Release No.
34-39901
File Number:
3-9580
|
|
Release No.
34-39902
|
|
Release No.
IA-1715
File Number:
3-9578
|
|
Release No.
IA-1714
File Number:
3-9577
|
|
Release No.
34-39848
File Number:
3-9576
|
|
Release No.
34-39843
File Number:
3-9573
|
|
Release No.
34-39844
File Number:
3-9574
|
|
Release No.
33-7522
File Number:
3-9364
|
|
Release No.
33-7521, 34-39817, IA-1712, IC-23090
File Number:
3-9383
|
|
Release No.
34-39812
|
|
Release No.
33-7520
File Number:
3-9571
|
|
Release No.
34-39807
File Number:
3-9569
|
|
Release No.
34-39795
File Number:
3-9566
|
|
Release No.
33-7519
File Number:
3-9567
|
|
Release No.
33-7518
File Number:
3-9563
|
|
Release No.
34-39801
File Number:
3-9568
|
|
Release No.
34-39792
File Number:
3-9564
|
|
Release No.
34-39793
File Number:
3-9565
|
|
Release No.
33-7517
File Number:
3-9368
|
|
Release No.
33-7515
File Number:
3-9517
|
|
Release No.
34-39752
File Number:
3-9558
|
|
Release No.
34-39753
File Number:
3-9559
|
|
Release No.
34-39737
File Number:
3-9556
|
|
Release No.
34-39714
File Number:
3-9552
|
|
Release No.
34-39710
File Number:
3-9550
|
|
Release No.
34-39702
File Number:
3-9547
|
|
Release No.
34-39703
File Number:
3-9548
|
|
Release No.
33-7510, 34-39701, IA-1702, IC-23048
File Number:
3-9546
|
|
Release No.
34-39687
|
|
Release No.
34-39642
File Number:
3-9358
|
|
Release No.
34-39629
File Number:
3-8998
|
|
Release No.
33-7503, 34-39612
|
|
Release No.
34-39605
|
|
Release No.
34-39601
File Number:
3-9541
|
|
Release No.
33-7501, 34-39600
File Number:
3-9539
|
|
Release No.
33-7502
File Number:
3-9540
|
|
Release No.
33-7498, 34-39595
File Number:
3-9535
|
|
Release No.
33-7499
File Number:
3-9536
|
|
Release No.
34-39592
File Number:
3-9464
|
|
Release No.
34-39589
|
|
Release No.
34-39579
File Number:
3-9534
|
|
Release No.
34-39568
|
|
Release No.
33-7496
File Number:
3-9532
|
|
Release No.
34-39559
File Number:
3-9531
|
|
Release No.
34-39531
|
|
Release No.
34-39533
File Number:
3-9525
|
|
Release No.
34-39534
File Number:
3-9526
|
|
Release No.
34-39535
File Number:
3-9527
|
|
Release No.
34-39536
File Number:
3-9528
|
|
Release No.
34-39522
File Number:
3-8533
|
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Release No.
34-39521
File Number:
3-9140
|
|
Release No.
34-39515
File Number:
3-9524
|
|
Release No.
34-39506
File Number:
3-9521
|
|
Release No.
34-39507
File Number:
3-9522
|
|
Release No.
33-7493, 34-39508
|
|
Release No.
33-7492, 34-39501
File Number:
3-8703
|
|
Release No.
33-7490, IA-1689
File Number:
3-9517
|
|
Release No.
34-39485
File Number:
3-9516
|
|
Release No.
34-39486
File Number:
3-9518
|
|
Release No.
34-39472
File Number:
3-9515
|
|
Release No.
IA-1688
File Number:
3-9514
|
|
Release No.
34-39471
|
|
Release No.
34-39464
File Number:
3-9512
|
|
Release No.
34-39463
File Number:
3-9511
|
|
Release No.
34-39447, AAER-995
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