Breadcrumb

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
Release No. 33-11096, 34-95612, AAER-4329
File Number: 3-21009
Release No. 34-95619
File Number: 3-21011
Release No. 34-95621
File Number: 3-21012
Release No. 34-95617
File Number: 3-21010
Release No. IA-6098
File Number: 3-21008
Release No. 34-95610, AAER-4326
Release No. 34-95600
File Number: 3-21000
Release No. 34-95611, AAER-4327
Release No. IA-6097
File Number: 3-21007
Release No. 34-95608
File Number: 3-21001
Release No. 34-95609, AAER-4325
Release No. 34-95594
File Number: 3-20999
Release No. 34-95589, AAER-4323
File Number: 3-20997
Release No. 34-95593, AAER-4324
File Number: 3-20998
Release No. IA-6095
File Number: 3-20996
Release No. 34-95562
File Number: 3-20988
Release No. 34-95566
File Number: 3-20992
Release No. 34-95568
File Number: 3-20993
Release No. 34-95563
File Number: 3-20989
Release No. 34-95573
File Number: 3-20994
Release No. 34-95564
File Number: 3-20990
Release No. 34-95574
File Number: 3-20995
Release No. 34-95565
File Number: 3-20991
Release No. 34-95542
File Number: 3-20984
Release No. 34-95538
File Number: 3-20980
Release No. 34-95543
File Number: 3-20985
Release No. 34-95539
File Number: 3-20981
Release No. 34-95553
File Number: 3-20986
Release No. 34-95540
File Number: 3-20982
Release No. 34-95535
File Number: 3-20978
Release No. 34-95554
File Number: 3-20987
Release No. 34-95541
File Number: 3-20983
Release No. 34-95536
File Number: 3-20979
Release No. 34-95517
File Number: 3-20972
Release No. 34-95513
File Number: 3-20968
Release No. 34-95514
File Number: 3-20969
Release No. 34-95515
File Number: 3-20970
Release No. 34-95511
Comments Due: 30 days from date of this Notice
Comments received are available: https://www.sec.gov/comments/3-17956/3-17956.htm
Submit Comments on: 3-17956
File Number: 3-17956
Release No. 34-95516
File Number: 3-20971
Release No. 34-95512
File Number: 3-20967
Release No. 34-95523
File Number: 3-20977
Release No. 34-95533
File Number: 3-20717
Release No. 34-95518
File Number: 3-20973
Release No. 34-95519
File Number: 3-20974
Release No. 34-95522
File Number: 3-20976
Release No. 34-95508
File Number: 3-20965
Release No. 33-11091, 34-95502, IA-6090, IC-34674
File Number: 3-20962
Release No. 33-11093, 34-95510, IC-34675
File Number: 3-20966
Release No. 33-11092, 34-95505, AAER-4321
File Number: 3-20963
Release No. 34-95506
File Number: 3-20880
Release No. 34-95507
File Number: 3-20964
Release No. 34-95487
File Number: 3-20961
Release No. 34-95467
File Number: 3-20956
Release No. 34-95468
File Number: 3-20957
Release No. 34-95469
File Number: 3-20958
Release No. 34-95482
File Number: 3-20960
Release No. IA-6087
File Number: 3-20959
Release No. 34-95462, IA-6085, IC-34669
File Number: 3-20954
Release No. IA-6086
File Number: 3-20955
Release No. 33-11090, IA-6084
File Number: 3-20953
Release No. 34-95453, IA-6082
File Number: 3-20951
Release No. IA-6081
File Number: 3-20950
Release No. 33-11089
File Number: 3-20952
Release No. 34-95451, AAER-4320
File Number: 3-20949
Release No. 34-95432
File Number: 3-16000
Release No. 34-95427
File Number: 3-20060
Release No. 34-95429
File Number: 3-20855
Release No. 34-95418
Comments Due: 30 days from date of this Notice
File Number: 3-15635
Release No. 34-95421
File Number: 3-20947
Release No. IA-6079
File Number: 3-20944
Release No. 33-11088, 34-95415, AAER-4318
See Also: Complaint
File Number: 3-20945
Release No. IA-6078
File Number: 3-20941
Release No. 33-11085, 34-95389, IA-6075, IC-34655
File Number: 3-20939
Release No. 33-11086, 34-95390, IA-6076
File Number: 3-20940
Release No. 34-95369
File Number: 3-20938
Release No. 34-95367, IA-6073
File Number: 3-20936
Release No. 34-95368, IA-6074
File Number: 3-20937
Release No. IA-6072
File Number: 3-20935
Release No. 34-95351, IA-6070
File Number: 3-20934
Release No. IA-6069
File Number: 3-20933
Release No. 33-11084, 34-95323
File Number: 3-20932
Release No. 33-11083
File Number: 3-20931
Release No. 34-95311
File Number: 3-20381
Release No. 34-95293
File Number: 3-20855
Release No. 34-95277
Comments received are available: https://www.sec.gov/comments/3-20523/3-20523.htm
File Number: 3-20523
Release No. 34-95255
File Number: 3-19266
Release No. 34-95261
File Number: 3-19541
Release No. 34-95223, AAER-4315
File Number: 3-20930
Release No. 34-95224, AAER-4316
File Number: 3-13421
Release No. IA-6064
File Number: 3-20928
Release No. 34-95212, IA-6065
Release No. 33-11079, 34-95204
File Number: 3-20925
Release No. 33-11080, 34-95205
File Number: 3-20926
Release No. IA-6063
File Number: 3-20927
Release No. 34-95194
File Number: 3-20924
Release No. 34-95192
File Number: 3-20781, 3-20782, 3-20783
Release No. 34-95193, AAER-4314
File Number: 3-20923
Release No. 34-95181
File Number: 3-20913
Release No. 34-95182
File Number: 3-20914
Release No. 34-95189, IA-6061
File Number: 3-20920