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.
33-11029, IC-34503
File Number:
3-20758
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Release No.
34-94240
File Number:
3-20760
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Release No.
34-94243
File Number:
3-20761
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Release No.
34-94244
File Number:
3-20762
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Release No.
34-94239
File Number:
3-20759
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Release No.
34-94235
File Number:
3-20756
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Release No.
34-94227
File Number:
3-20752
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Release No.
34-94236
File Number:
3-20757
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Release No.
34-94228
File Number:
3-20753
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Release No.
34-94229
File Number:
3-20754
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Release No.
34-94230
File Number:
3-20755
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Release No.
34-94220
File Number:
3-20749
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Release No.
34-94213
File Number:
3-20745
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Release No.
34-94221
File Number:
3-20162
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Release No.
34-94214
File Number:
3-20746
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Release No.
IA-5959
File Number:
3-20750
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Release No.
34-94215
File Number:
3-20747
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Release No.
34-94225
File Number:
3-20751
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Release No.
34-94216
File Number:
3-20748
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Release No.
34-94199
File Number:
3-20740
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Release No.
34-94200
File Number:
3-20742
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Release No.
34-94209
File Number:
3-20743
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Release No.
34-94198
File Number:
3-20741
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Release No.
34-94210
File Number:
3-20744
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Release No.
34-94193
File Number:
3-20737
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Release No.
34-94182
File Number:
3-20733
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Release No.
34-94194
File Number:
3-20738
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Release No.
34-94183
File Number:
3-20734
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Release No.
34-94195
File Number:
3-20739
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Release No.
IA-5954
File Number:
3-20735
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Release No.
34-94191
File Number:
3-20736
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Release No.
34-94170
See Also:
Amended Distribution Plan
File Number:
3-19927
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Release No.
34-94171
File Number:
3-20730
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Release No.
34-94172
File Number:
3-20732
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Release No.
34-94173
File Number:
3-20731
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Release No.
34-94169
File Number:
3-20615
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Release No.
34-94146
File Number:
3-20479
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Release No.
34-94112
File Number:
3-20728
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Release No.
34-94102, IA-5951
File Number:
3-20726
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Release No.
34-94113
File Number:
3-20729
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Release No.
34-94106
File Number:
3-20171
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Release No.
34-94107
See Also:
Proposed Distribution Plan
Comments Due:
30 days from date of this Notice
Comments received are available:
https://www.sec.gov/comments/3-20537/3-20537.htm
Submit Comments on:
3-20537
File Number:
3-20537
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Release No.
34-94108, AAER-4280
File Number:
3-20727
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Release No.
34-94098
File Number:
3-20724
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Release No.
34-94099, AAER-4279
File Number:
3-18769
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Release No.
34-94100
File Number:
3-20725
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Release No.
34-94090
File Number:
3-20723
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Release No.
34-94078
File Number:
3-20719
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Release No.
34-94081
File Number:
3-20720
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Release No.
34-94084
File Number:
3-20721
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Release No.
34-94085
File Number:
3-20722
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Release No.
34-94077
File Number:
3-20718
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Release No.
34-94063
File Number:
3-20717
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Release No.
34-94058
File Number:
3-20715
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Release No.
34-94049
File Number:
3-20055
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Release No.
34-94060
File Number:
3-20716
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Release No.
34-94051
File Number:
3-20711
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Release No.
34-94056
File Number:
3-20712
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Release No.
34-94057
File Number:
3-20713
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Release No.
34-94033
File Number:
3-20710
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Release No.
34-94035
See Also:
Proposed Distribution Plan
File Number:
3-19334
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Release No.
34-94045, IA-5949
File Number:
3-20709
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Release No.
33-11025, 34-94028, IC-34479
See Also:
Administrative Summary
File Number:
3-20708
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Release No.
33-11024, 34-94027, IA-5948, IC-34478
See Also:
Administrative Summary
File Number:
3-20707
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Release No.
34-94002
File Number:
3-20596
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Release No.
33-11023, 34-93993, IA-5947, IC-34471
File Number:
3-20706
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Release No.
34-93981
See Also:
Distribution Plan
File Number:
3-20163
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Release No.
IA-5945
See Also:
Administrative Summary
File Number:
3-20702
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Release No.
34-93980
See Also:
Distribution Plan
File Number:
3-16877
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Release No.
IA-5943
See Also:
Administrative Summary
File Number:
3-20700
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Release No.
IA-5944
See Also:
Administrative Summary
File Number:
3-20701
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Release No.
34-93938
See Also:
Administrative Summary
File Number:
3-20699
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Release No.
34-93930
File Number:
3-20697
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Release No.
34-93931
File Number:
3-20698
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Release No.
34-93923, IA-5940
File Number:
3-20695
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Release No.
34-93932
File Number:
3-19719
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Release No.
34-93926, IA-5939
File Number:
3-20694
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Release No.
34-93929
See Also:
Administrative Summary
File Number:
3-20696
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Release No.
34-93892
See Also:
Proposed Distribution Plan
Comments Due:
30 days from date of this Notice
Submit Comments on:
3-20150
File Number:
3-20150
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Release No.
34-93890
File Number:
3-20311
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