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.
34-100452
File Number:
3-17673
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Release No.
IA-6636
File Number:
3-21125
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Release No.
IA-6635
File Number:
3-21980
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Release No.
IA-6634
File Number:
3-21979
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Release No.
34-100428
File Number:
3-21978
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Release No.
34-100419, AAER-4511
See Also:
Administrative Summary
File Number:
3-21977
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Release No.
33-11292, 34-100415
File Number:
3-21976
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Release No.
34-100410
See Also:
Proposed Plan of Distribution
Submit Comments on:
Notice of Proposed Plan of Distribution and Opportunity for Comment
File Number:
3-19899, 3-19900, 3-19901, 3-19902
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Release No.
34-100389, AAER-4510
See Also:
Administrative Summary
File Number:
3-21975
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Release No.
34-100383
File Number:
3-21973
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Release No.
34-100382
File Number:
3-21974
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Release No.
34-100381
File Number:
3-21972
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Release No.
34-100379
File Number:
3-20906
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Release No.
34-100376
See Also:
Proposed Plan of Distribution
Comments Due:
Thirty (30) days from the date of this Notice
Submit Comments on:
Notice of Proposed Plan of Distribution and Opportunity for Comment
File Number:
3-21610, 3-21612, 3-21613, 3-21614, 3-21615, 3-21616
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Release No.
34-100373
File Number:
3-21971
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Release No.
34-100369
File Number:
3-21535
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Release No.
34-100368
File Number:
3-21970
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Release No.
34-100365
File Number:
3-21969
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Release No.
33-11291, 34-100361, AAE-4508
File Number:
3-21968
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Release No.
34-100360
See Also:
Corrected Plan of Distribution
File Number:
3-21295
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Release No.
34-100359
File Number:
3-21405
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Release No.
34-100351, IA-6629
File Number:
3-21967
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Release No.
34-100339
File Number:
3-21966
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Release No.
IA-6628
See Also:
Administrative Summary
File Number:
3-21965
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Release No.
33-11290, 34-100329
File Number:
3-21964
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Release No.
34-100323, IA-6627
File Number:
3-21963
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Release No.
34-100318, IA-6623
File Number:
3-21962
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Release No.
IA-6622
See Also:
Administrative Summary
File Number:
3-21961
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Release No.
34-100298
File Number:
3-21960
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Release No.
34-100294
File Number:
3-21923
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Release No.
33-11289, 34-100288, AAER-4506
See Also:
Administrative Summary
File Number:
3-21959
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Release No.
34-100285, IA-6621
File Number:
3-21958
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Release No.
34-100280
See Also:
Administrative Summary
File Number:
3-21954
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Release No.
IA-6620
File Number:
3-21957
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Release No.
IA-6619
File Number:
3-21956
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Release No.
IA-6618
File Number:
3-21955
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Release No.
34-100271
File Number:
3-20125
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Release No.
34-100270
File Number:
3-18681, 3-18682, 3-18683
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Release No.
34-100258, AAER-4505
File Number:
3-21953
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Release No.
34-100250, AAER-4504
File Number:
3-18123
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Release No.
34-100249
File Number:
3-21952
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Release No.
34-100238
File Number:
3-21951
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Release No.
IA-6616, IC-35207
File Number:
3-21950
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Release No.
IA-6615
File Number:
3-21949
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Release No.
34-100222
See Also:
Distribution Plan
File Number:
3-21140, 3-21141
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Release No.
34-100207
File Number:
3-21948
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Release No.
34-100206
See Also:
Administrative Summary
File Number:
3-21947
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Release No.
34-100201
File Number:
3-21946
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Release No.
34-100186, IA-6609
See Also:
Administrative Summary
File Number:
3-21945
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Release No.
34-100184
File Number:
3-21944
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Release No.
34-100183
See Also:
Administrative Summary
File Number:
3-21943
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Release No.
34-100180
File Number:
3-21535
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Release No.
34-100179
File Number:
3-20883
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Release No.
34-100178
File Number:
3-17673
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Release No.
34-100176
File Number:
3-20060
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Release No.
34-100175
File Number:
3-21355
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Release No.
34-100172
See Also:
Administrative Summary
File Number:
3-21942
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Release No.
34-100171
File Number:
3-21940
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Release No.
34-100170, AAER-4503
File Number:
3-21939
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Release No.
34-100165, IA-6607, IC-35195, AAER-4502
See Also:
Administrative Summary
File Number:
3-21938
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Release No.
34-100154
See Also:
Distribution Plan
File Number:
3-17582
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Release No.
34-100153
File Number:
3-20003
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Release No.
IA-6603
File Number:
3-21937
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Release No.
34-100106, IA-6602
File Number:
3-21936
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Release No.
IA-6601
File Number:
3-21935
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Release No.
34-100101, AAER-4501
File Number:
3-20117
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Release No.
34-100100
See Also:
Distribution Plan
File Number:
3-20906
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Release No.
33-11285, 34-100074
See Also:
Administrative Summary
File Number:
3-21932
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Release No.
34-100082
File Number:
3-21934
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Release No.
34-100073
File Number:
3-16852
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Release No.
IA-6600, IC-35187
File Number:
3-21931
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Release No.
33-11284
See Also:
Administrative Summary
File Number:
3-21930
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Release No.
34-100066
File Number:
3-20597
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Release No.
34-100064
File Number:
3-21929
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Release No.
34-100054
See Also:
Administrative Summary
File Number:
3-21927
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Release No.
33-11283, 34-100053, AAER-4500
File Number:
3-21926
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Release No.
34-100045
File Number:
3-21925
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Release No.
IA-6597, IC-35182
See Also:
Administrative Summary
File Number:
3-21923
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Release No.
34-100019
File Number:
3-21922
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Release No.
34-100018
File Number:
3-21921
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Release No.
34-100007, AAER-4498
File Number:
3-21920
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Release No.
IA-6594
File Number:
3-21919
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Release No.
IA-6593
See Also:
Administrative Summary
File Number:
3-21918
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Release No.
34-99985
File Number:
3-21917
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Release No.
34-99967
File Number:
3-19541
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Release No.
IA-6591
File Number:
3-21916
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Release No.
34-99966
See Also:
Proposed Distribution of Plan
File Number:
3-21295
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Release No.
34-99958
File Number:
3-21542
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Release No.
IA-6590
See Also:
Administrative Summary
File Number:
3-21914
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Release No.
34-99953
File Number:
3-21913
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Release No.
34-99952
File Number:
3-21907
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Release No.
34-99948
File Number:
3-21908
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Release No.
33-11281, 34-99947
File Number:
3-20898
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Release No.
IA-6589
File Number:
3-21912
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Release No.
IA-6588
File Number:
3-21911
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Release No.
IA-6587
File Number:
3-21910
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Release No.
IA-6586
File Number:
3-21909
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Release No.
IA-6585, IC-35170
File Number:
3-21906
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Release No.
34-99945
See Also:
Plan of Distribution
File Number:
3-20252, 3-20253
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Release No.
34-99944
File Number:
3-17614
|
Thirty (30) days from the date of this Notice