Administrative Proceedings
The links below direct you to the individual case pages for litigated administrative proceedings adjudicated by the Commission, including its consideration of appeals from initial decisions issued by administrative law judges or from SRO or PCAOB action. The case pages contain the Commission opinions and orders as well as significant filings in 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
Below is a chronological list of links to orders by the Commission instituting both litigated and settled administrative proceedings and to issuances for the Commission, by the Division of Enforcement, pursuant to delegated authority. The orders and other issuances in litigated administrative proceedings below also may be found on the individual case pages linked on the Open Litigated Administrative Proceedings and Closed Litigated Administrative Proceedings pages, together with filings made in the proceedings. The issuances pertaining to distribution proceedings may also be found in the individual case charts on the Distributions in Commission Administrative Proceedings: Notices and Orders Pertaining to Disgorgement and Fair Funds page.
| Date Sort descending | Respondents |
|---|---|
|
Release No.
34-103770
File Number:
3-22515
|
|
|
Release No.
34-103764
See Also:
Administrative Summary
File Number:
3-22513
|
|
|
Release No.
IA-6908
See Also:
Administrative Summary
File Number:
3-22511
|
|
|
Release No.
IA-6907
File Number:
3-22510
|
|
|
Release No.
34-103689
File Number:
3-22509
|
|
|
Release No.
34-103683
File Number:
3-22027
|
|
|
Release No.
34-103682
File Number:
3-16017
|
|
|
Release No.
34-103681
File Number:
3-14950
|
|
|
Release No.
34-103680
File Number:
3-12678
|
|
|
Release No.
34-103679
File Number:
3-21103
|
|
|
Release No.
34-103676
File Number:
3-21206
|
|
|
Release No.
34-103675, IA-6905
File Number:
3-22508
|
|
|
Release No.
34-103674, IA-6904
File Number:
3-22507
|
|
|
Release No.
34-103668
File Number:
3-22481
|
|
|
Release No.
34-103656
File Number:
3-22505
|
|
|
Release No.
34-103646
See Also:
Administrative Summary
File Number:
3-22504
|
|
|
Release No.
33-11382, 34-103631
File Number:
3-22503
|
|
|
Release No.
34-103629
See Also:
Administrative Summary
File Number:
3-22502
|
|
|
Release No.
34-103625
See Also:
Plan Of Distribution
File Number:
3-21181
|
|
|
Release No.
IA-6902
File Number:
3-22501
|
|
|
Release No.
IA-6901
See Also:
Administrative Summary
File Number:
3-22500
|
|
|
Release No.
34-103615
File Number:
3-22499
|
|
|
Release No.
34-103614
File Number:
3-22498
|
|
|
Release No.
34-103586
File Number:
3-21586
|
|
|
Release No.
34-103579
File Number:
3-20880
|
|
|
Release No.
34-103577
File Number:
3-20393
|
|
|
Release No.
34-103545
File Number:
3-20223
|
|
|
Release No.
34-103544
File Number:
3-21569
|
|
|
Release No.
34-103538
File Number:
3-22497
|
|
|
Release No.
IA-6899
File Number:
3-22496
|
|
|
Release No.
34-103498
File Number:
3-20703
|
|
|
Release No.
34-103479, IA-6898
File Number:
3-22495
|
|
|
Release No.
33-11380, 34-103474, IA-6897, 35679
File Number:
3-22494
|
|
|
Release No.
IA-6896, IC-35678
See Also:
Administrative Summary
File Number:
3-22493
|
|
|
Release No.
34-103444
File Number:
3-20883, 3-20884, 3-20885, 3-20886, 3-20887, 3-20889
|
|
|
Release No.
34-103442
File Number:
3-20628, 3-20629
|
|
|
Release No.
34-103441
File Number:
3-21405
|
|
|
Release No.
34-103438, IA-6895
See Also:
Administrative Summary
File Number:
3-22490
|
|
|
Release No.
34-103437, IA-6894
See Also:
Administrative Summary
File Number:
3-22489
|
|
|
Release No.
IA-6893
See Also:
Administrative Summary
File Number:
3-22488
|
|
|
Release No.
34-103411
File Number:
3-20724
|
|
|
Release No.
34-103362
File Number:
3-22487
|
|
|
Release No.
34-103353
File Number:
3-20628, 3-20629
|
|
|
Release No.
34-103347
File Number:
3-21181
|
|
|
Release No.
34-103346
See Also:
Proposed Plan of Distribution
Submit Comments on:
Notice of Proposed Plan of Distribution and Opportunity for Comment
File Number:
3-21405
|
|
|
Release No.
34-103342
File Number:
3-22327
|
|
|
Release No.
IA-6887
File Number:
3-22486
|
|
|
Release No.
IA-6886
File Number:
3-22485
|
|
|
Release No.
34-103276
File Number:
3-16829
|
|
|
Release No.
34-103246, IA-6884
File Number:
3-22484
|
|
|
Release No.
34-103222
|
|
|
Release No.
34-103214, AAER-4570
File Number:
3-22483
|
|
|
Release No.
34-103195
File Number:
3-21951
|
|
|
Release No.
34-103173, IA-6881
See Also:
Administrative Summary
File Number:
3-22481
|
|
|
Release No.
IA-6882
File Number:
3-22482
|
|
|
Release No.
34-103169
See Also:
Administrative Summary
File Number:
3-22480
|
|
|
Release No.
34-103154
See Also:
Administrative Summary
File Number:
3-22479
|
|
|
Release No.
34-103134
File Number:
3-17890
|
|
|
Release No.
34-103133
File Number:
3-17890
|
|
|
Release No.
34-103132
File Number:
3-16575
|
|
|
Release No.
34-103122
File Number:
3-21836, 3-21837
|
|
|
Release No.
34-103102
File Number:
3-22247
|
|
|
Release No.
34-103036
See Also:
Proposed Plan of Distribution
Comments Due:
Comments due: 30 days from date of this Notice
Submit Comments on:
Notice of Proposed Plan of Distribution and Opportunity for Comment
File Number:
3-20883, 3-20884, 3-20885, 3-20886, 3-20887, 3-20889
|
|
|
Release No.
34-103022
File Number:
3-17582, 3-17628
|
|
|
Release No.
34-103021
See Also:
Plan of Distribution
File Number:
3-21355
|
|
|
Release No.
34-103020
File Number:
3-22435
|
|
|
Release No.
34-103009
File Number:
3-20998
|
|
|
Release No.
34-103008, AAER-4568
File Number:
3-19803
|
|
|
Release No.
34-103001, AAER-4567
File Number:
3-22475
|
|
|
Release No.
IA-6876
File Number:
3-22426
|
|
|
Release No.
34-102936
File Number:
3-21586
|
|
|
Release No.
34-102926
File Number:
3-21181
|
|
|
Release No.
34-102909
File Number:
3-22290
|
|
|
Release No.
34-102915
See Also:
Modified Plan of Distribution
File Number:
3-21825, 3-21826
|
|
|
Release No.
34-102914
File Number:
3-20883, 3-20884, 3-20885, 3-20886, 3-20887, 3-20889
|
|
|
Release No.
34-102913
File Number:
3-17614
|
|
|
Release No.
34-102911
File Number:
3-20628, 3-20629
|
|
|
Release No.
34-102906
File Number:
3-17956
|
|
|
Release No.
34-102872
File Number:
3-22294
|
|
|
Release No.
34-102867, AAER-4566
File Number:
3-22474
|
|
|
Release No.
34-102849, AAER-4565
File Number:
3-20447
|
|
|
Release No.
34-102847, AAER-4564
File Number:
3-21353
|
|
|
Release No.
IA-6872
File Number:
3-18649
|
|
|
Release No.
33-11372, 34-102815
File Number:
3-17920
|
|
|
Release No.
33-11371
File Number:
3-22472
|
|
|
Release No.
IC-35522
See Also:
Administrative Summary
File Number:
3-22470
|
|
|
Release No.
34-102769
See Also:
Administrative Summary
File Number:
3-22469
|
|
|
Release No.
34-102767
File Number:
3-21026
|
|
|
Release No.
34-102751
See Also:
Plan of Distribution
File Number:
3-20945
|
|
|
Release No.
34-102749, AAER-4563
File Number:
3-22468
|
|
|
Release No.
34-102743
See Also:
Plan of Distribution
File Number:
3-21655
|
|
|
Release No.
34-102740
File Number:
3-22466
|
|
|
Release No.
34-102741
File Number:
3-22467
|
|
|
Release No.
34-102739
File Number:
3-22465
|
|
|
Release No.
34-102733
File Number:
3-16757
|
|
|
Release No.
34-102730
See Also:
Proposed Plan of Distribution
Comments Due:
Thirty (30) days from the date of this Notice
Comments received are available:
https://www.sec.gov/comments/3-21836/3-21836.htm
Submit Comments on:
Notice of Proposed Plan of Distribution and Opportunity for Comment
File Number:
3-21836, 3-21837
|
|
|
Release No.
IA-6867
File Number:
3-22464
|
|
|
Release No.
34-102690
File Number:
3-22398
|
|
|
Release No.
34-102676
File Number:
3-14909
|
|
|
Release No.
34-102674, IA-6864
File Number:
3-22463
|
30 days from the date of this Notice