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.
34-98082
File Number:
3-21558
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Release No.
34-98076
See Also:
Waiver Order
File Number:
3-21552
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Release No.
34-98074, IA-6369
See Also:
Waiver Order
File Number:
3-21550
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Release No.
33-11220; IA-6368
See Also:
Administrative Summary
File Number:
3-21548
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Release No.
33-11219, 34-98065, AAER-4435
See Also:
Administrative Summary
File Number:
3-21547
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Release No.
33-11218; IA-6367
File Number:
3-21546
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Release No.
IA-6363
File Number:
3-21545
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Release No.
33-11217
File Number:
3-21544
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Release No.
34-98049
See Also:
Proposed Plan of Distribution
File Number:
3-20881
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Release No.
34-98041
File Number:
3-20381
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Release No.
34-98039, AAER-4434
File Number:
3-21543
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Release No.
34-98034, IA-6362, IC-34979
File Number:
3-21542
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Release No.
IA-6361
File Number:
3-21541
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Release No.
34-98031, IA-6360
File Number:
3-21540
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Release No.
34-98030, AAER-4433
See Also:
Administrative Summary
File Number:
3-21539
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Release No.
IA-6359, IC-34978
See Also:
Administrative Summary
File Number:
3-21538
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Release No.
IA-6358, IC-34977
See Also:
Administrative Summary
File Number:
3-21537
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Release No.
34-98024
File Number:
3-20881
|
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Release No.
IA-6355
File Number:
3-21536
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Release No.
33-11215
See Also:
Administrative Summary
File Number:
3-21535
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Release No.
34-97957
See Also:
Administrative Summary
File Number:
3-21533
|
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Release No.
33-11213 , 34-97958
File Number:
3-21534
|
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Release No.
34-97949
File Number:
3-13675
|
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Release No.
34-97930
File Number:
3-20855
|
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Release No.
33-11212, AAER-4431, 34-97940
File Number:
3-21532
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Release No.
34-97937, IA-6350
See Also:
Administrative Summary
File Number:
3-21531
|
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Release No.
34-97931
File Number:
3-15948
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Release No.
34-97915
See Also:
Administrative Summary
File Number:
3-21530
|
|
Release No.
34-97921
See Also:
Proposed Plan of Distribution
File Number:
3-19494
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Release No.
34-97916
File Number:
3-20906
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Release No.
34-97907
File Number:
3-21529
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Release No.
34-97906
File Number:
3-21528
|
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Release No.
34-97886, IA-6345
File Number:
3-21527
|
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Release No.
34-97878
File Number:
3-21526
|
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Release No.
IA-6341
File Number:
3-21523
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Release No.
IA-6343
File Number:
3-21525
|
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Release No.
34-97874
File Number:
3-21181
|
|
Release No.
34-97872
File Number:
3-21524
|
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Release No.
34-97856
See Also:
Distribution Plan
File Number:
3-17673
|
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Release No.
34-97855
File Number:
3-20003
|
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Release No.
34-97854
See Also:
Distribution Plan
File Number:
3-19831
|
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Release No.
34-97852
File Number:
3-21520
|
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Release No.
34-97858
File Number:
3-21521
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Release No.
34-97859
File Number:
3-21522
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Release No.
34-97845
File Number:
3-21517
|
|
Release No.
34-97847
File Number:
3-21519
|
|
Release No.
34-97835, AAER-4427
See Also:
Administrative Summary
File Number:
3-21513
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Release No.
34-97834
See Also:
Administrative Summary
File Number:
3-21512
|
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Release No.
33-11210, 34-97837, AAER-4429
See Also:
Administrative Summary
File Number:
3-21515
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Release No.
33-11209, 34-97836, AAER-4428
See Also:
Administrative Summary
File Number:
3-21514
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Release No.
33-11206, 34-97829, AAER-4425
See Also:
Administrative Summary
File Number:
3-21511
|
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Release No.
33-11208, 34-97830
|
|
Release No.
34-97828
See Also:
Administrative Summary
File Number:
3-21509
|
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Release No.
34-97827
See Also:
Administrative Summary
File Number:
3-21508
|
|
Release No.
34-97819
File Number:
3-20981
|
|
Release No.
34-97818
File Number:
3-17582, 3-17628
|
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Release No.
34-97820
See Also:
Administrative Summary
File Number:
3-21504
|
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Release No.
34-97801
See Also:
Proposed Plan of Distribution
Comments received are available:
3-20393
Submit Comments on:
Notice of Proposed Plan of Distribution and Opportunity for comment
File Number:
3-20393
|
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Release No.
34-97802
File Number:
3-20881
|
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Release No.
34-97811
File Number:
3-20932
|
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Release No.
34-97787
File Number:
3-21502
|
|
Release No.
34-97775
File Number:
3-21465
|
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Release No.
IA-6333
File Number:
3-21501
|
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Release No.
34-97774
File Number:
3-20963
|
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Release No.
34-97773, AAER-4423
File Number:
3-21500
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Release No.
IA-6332
File Number:
3-21499
|
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Release No.
34-97761, AAER-4422
File Number:
3-21497
|
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Release No.
34-97760, AAER-4421
File Number:
3-21498
|
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Release No.
34-97757, AAER-4420
File Number:
3-21496,
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Release No.
34-97756
File Number:
3-21495
|
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Release No.
34-97755, IA-6331
File Number:
3-21494
|
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Release No.
IA-6330
File Number:
3-21493
|
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Release No.
34-97740, AAER-4419
See Also:
Administrative Summary
File Number:
3-21491
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Release No.
IA-6329, IC-34943
File Number:
3-21490
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Release No.
IA-6328
File Number:
3-21489
|
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Release No.
34-97729
File Number:
3-17212
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Release No.
34-97697
File Number:
3-21488
|
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Release No.
33-11204
File Number:
3-20801
|
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Release No.
34-97685, AAER-4418
See Also:
Administrative Summary
File Number:
3-21486
|
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Release No.
34-97676
File Number:
3-21376
|
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Release No.
33-11203, 34-97677
File Number:
3-21485
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Release No.
34-97670
File Number:
3-21484
|
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Release No.
34-97668
File Number:
3-20060
|
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Release No.
34-97660
File Number:
3-21087
|
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Release No.
34-97655
File Number:
3-21015
|
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Release No.
33-11202, 34-97651, AAER-4417
See Also:
Administrative Summary
File Number:
3-21483
|
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Release No.
33-11201, 34-97650, AAER-4416
File Number:
3-21482
|
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Release No.
33-11200, 34-97649, AAER-4415
File Number:
3-21481
|
|
Release No.
34-97646
File Number:
3-20881, 3-20882
|
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Release No.
34-97638
File Number:
3-21478
|
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Release No.
34-97637
File Number:
3-21477
|
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Release No.
IA-6320, AAER-4412
File Number:
3-21476
|
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Release No.
IA-6319
File Number:
3-21475
|
|
Release No.
34-97636
File Number:
3-19991
|
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Release No.
34-97632
File Number:
3-21181
|
|
Release No.
34-97631
See Also:
Administrative Summary
File Number:
3-21474
|
|
Release No.
34-97625
See Also:
Proposed Plan of Distribution
Comments Due:
30 days from date of this Notice
Submit Comments on:
Notice of Proposed Plan of Distribution and Opportunity for Comment
File Number:
3-19831
|
|
Release No.
34-97622, IA-6318
See Also:
Administrative Summary
File Number:
3-21473
|
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Release No.
34-97616
File Number:
3-21375
|
|
Release No.
34-97611
File Number:
3-21472
|
30 days from date of this Notice