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.
34-95187
File Number:
3-20919
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Release No.
34-95183
See Also:
Administrative Summary
File Number:
3-20915
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Release No.
34-95189, IA-6061
File Number:
3-20920
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Release No.
34-95184
See Also:
Administrative Summary
File Number:
3-20916
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Release No.
IA-6062
See Also:
Administrative Summary
File Number:
3-20921
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Release No.
34-95185
See Also:
Administrative Summary
File Number:
3-20917
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Release No.
34-95168, IA-6060
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Release No.
34-95167, AAER-4313
File Number:
3-20911
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Release No.
34-95172
File Number:
3-20455
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Release No.
34-95160, IA-6058
File Number:
3-20908
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Release No.
33-11078, 34-95163
See Also:
Administrative Summary
File Number:
3-20910
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Release No.
IA-6059
File Number:
3-20909
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Release No.
33-11077, 34-95158, IA-6057, IC-34637
See Also:
Administrative Summary
File Number:
3-20906
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Release No.
34-95149
File Number:
3-20537
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Release No.
34-95152
File Number:
3-20171
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Release No.
34-95138
See Also:
Administrative Summary
File Number:
3-20904
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Release No.
34-95131, IA-6052
File Number:
3-20903
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Release No.
34-95127
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Release No.
34-95121, IA-6051
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Release No.
34-95109
See Also:
Distribution Plan
File Number:
3-19991
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Release No.
34-95110
See Also:
Distribution Plan
File Number:
3-19716
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Release No.
34-95099
File Number:
3-20899
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Release No.
IA-6049
File Number:
3-20900
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Release No.
34-95087, IA-6047
See Also:
Administrative Summary
File Number:
3-20897
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Release No.
33-11072, 34-95089
See Also:
Complaint
File Number:
3-20898
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Release No.
34-95076, AAER-4312
See Also:
Administrative Summary
File Number:
3-20896
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Release No.
34-95067, AAER-4310
File Number:
3-20892
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Release No.
34-95071, AAER-4311
File Number:
3-20894
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Release No.
34-95072
See Also:
Administrative Summary
File Number:
3-20895
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Release No.
34-95066, AAER-4309
File Number:
3-20891
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Release No.
34-95054, AAER-4307
File Number:
3-20888
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Release No.
34-95050, AAER-4303
File Number:
3-20884
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Release No.
34-95055, AAER-4308
File Number:
3-20889
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Release No.
34-95051, AAER-4304
File Number:
3-20885
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Release No.
IA-6046
See Also:
Administrative Summary
File Number:
3-20890
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Release No.
34-95052, AAER-4305
File Number:
3-20886
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Release No.
34-95053, AAER-4306
File Number:
3-20887
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Release No.
34-95049, AAER-4302
File Number:
3-20883
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Release No.
34-95045, IA-6043
See Also:
Administrative Summary
File Number:
3-20880
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Release No.
34-95046, IA-6044, 34-96217
See Also:
Administrative Summary
File Number:
3-20881
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Release No.
34-95043
File Number:
3-20781
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Release No.
34-95044
See Also:
Proposed Distribution Plan
Comments Due:
30 days from date of this Notice
Submit Comments on:
3-16000
File Number:
3-16000
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Release No.
IA-6041
File Number:
3-20879
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Release No.
34-95047, IA-6045, 34-96217
See Also:
Administrative Summary
File Number:
3-20882
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Release No.
IA-6040, IC-34608
See Also:
Administrative Summary
File Number:
3-20877
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Release No.
IA-6039, IC-34607
See Also:
Administrative Summary
File Number:
3-20876
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Release No.
33-11069, 34-95024
File Number:
3-20873
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Release No.
34-95023, IA-6038
See Also:
Exhibit A
File Number:
3-20874
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Release No.
34-95030
File Number:
3-20875
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Release No.
34-95008, IA-6036
See Also:
Administrative Summary
File Number:
3-20872
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Release No.
34-94995
See Also:
Proposed Distribution Plan
Comments Due:
30 days from date of this Notice
Comments received are available:
https://www.sec.gov/comments/3-20381/3-20381.htm
Submit Comments on:
3-20381
File Number:
3-20381
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Release No.
IA-6035
File Number:
3-20684
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Release No.
34-94979
File Number:
3-16786
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Release No.
34-94978, IC-34592
File Number:
3-20871
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Release No.
33-11066
File Number:
3-20870
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Release No.
34-94976, AAER-4301
File Number:
3-17691
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Release No.
IA-6032, IC-34591
File Number:
3-20867
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Release No.
34-94962
File Number:
3-20868
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Release No.
34-94967, IA-6033
See Also:
Administrative Summary
File Number:
3-20869
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Release No.
34-94955, IA-6031
File Number:
3-20866
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Release No.
33-11064, 34-94956
File Number:
3-20051
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Release No.
34-94943
File Number:
3-20863
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Release No.
34-94944
File Number:
3-20864
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Release No.
IA-6030
See Also:
Administrative Summary
File Number:
3-20865
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Release No.
34-94948
See Also:
Proposed Distribution Plan
File Number:
3-19541
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Release No.
33-11063, 34-94945, IA-6029, IC-34589
File Number:
3-20454
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Release No.
33-11062
File Number:
3-20862
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Release No.
34-94937
File Number:
3-20861
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Release No.
34-94925, IA-6025
File Number:
3-20853
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Release No.
34-94926, IA-6026
File Number:
3-20854
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Release No.
34-94931
File Number:
3-20857
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Release No.
34-94927, IA-6027
File Number:
3-20855
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Release No.
34-94930
File Number:
3-20856
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Release No.
34-94906, AAER-4300
File Number:
3-20852
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Release No.
34-94904
File Number:
3-20851
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Release No.
34-94905
See Also:
Distribution Plan
File Number:
3-20310
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Release No.
IA-6020
File Number:
3-20850
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Release No.
34-94885
File Number:
3-20848
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Release No.
34-94886, IA-6019
File Number:
3-20849
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Release No.
34-94877
See Also:
Proposed Distribution Plan
Comments Due:
30 days from date of this Notice
Submit Comments on:
3-19266
File Number:
3-19266
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Release No.
34-94861
File Number:
3-20847
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Release No.
33-11060, 34-94859
File Number:
3-20844
|
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Release No.
IA-6015
See Also:
Administrative Summary
File Number:
3-20843
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Release No.
IA-6016
File Number:
3-20845
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Release No.
IA-6017
File Number:
3-20846
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Release No.
34-94852
File Number:
3-20841
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Release No.
34-94856
See Also:
Distribution Plan
File Number:
3-20165
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Release No.
34-94857
See Also:
Distribution Plan
File Number:
3-17614
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Release No.
34-94858, AAER-4299
File Number:
3-20842
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Release No.
34-94845
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Release No.
33-11059, IA-6012
File Number:
3-20838
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Release No.
34-94833
File Number:
3-20839
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Release No.
34-94834
See Also:
Administrative Summary
File Number:
3-20840
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Release No.
34-94830, IA-6011
File Number:
3-20837
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Release No.
33-11057, 34-94819, IA-6008
File Number:
3-20836
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Release No.
33-11055, 34-94806, IA-6004, IC-34573
See Also:
Administrative Summary
File Number:
3-20834
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Release No.
33-11056, 34-94807, IA-6005
See Also:
Administrative Summary
File Number:
3-20835
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Release No.
IA-6003
See Also:
Administrative Summary
File Number:
3-20833
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Release No.
34-94790
File Number:
3-20832
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Release No.
34-94786, AAER-4297
File Number:
3-20830
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