Administrative Proceedings
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
The list below provides 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.
| Date Sort descending | Respondents |
|---|---|
|
Release No.
34-97610
File Number:
3-21471
|
|
|
Release No.
34-97609, AAER-4411
See Also:
Administrative Summary
File Number:
3-21470
|
|
|
Release No.
34-97608
File Number:
3-21469
|
|
|
Release No.
34-97607
File Number:
3-21468
|
|
|
Release No.
34-97594
File Number:
3-21467
|
|
|
Release No.
34-97593
File Number:
3-21466
|
|
|
Release No.
34-97592
File Number:
3-21465
|
|
|
Release No.
34-97589
File Number:
3-21464
|
|
|
Release No.
34-97588
File Number:
3-21463
|
|
|
Release No.
34-97583
File Number:
3-21462
|
|
|
Release No.
34-97582
File Number:
3-21461
|
|
|
Release No.
34-97576
File Number:
3-21460
|
|
|
Release No.
34-97575
File Number:
3-21459
|
|
|
Release No.
34-97571
File Number:
3-21458
|
|
|
Release No.
34-97570
File Number:
3-21457
|
|
|
Release No.
34-97569
File Number:
3-21456
|
|
|
Release No.
34-97568
File Number:
3-21455
|
|
|
Release No.
34-97567
File Number:
3-21454
|
|
|
Release No.
34-97566
File Number:
3-21453
|
|
|
Release No.
34-97564
File Number:
3-21450
|
|
|
Release No.
34-97563
File Number:
3-21449
|
|
|
Release No.
34-97562
File Number:
3-21448
|
|
|
Release No.
34-97561
File Number:
3-21447
|
|
|
Release No.
34-97560
File Number:
3-21446
|
|
|
Release No.
34-97565
File Number:
3-21452
|
|
|
Release No.
IA-6315
See Also:
Administrative Summary
File Number:
3-21445
|
|
|
Release No.
34-97554
File Number:
3-21444
|
|
|
Release No.
34-97553
File Number:
3-21443
|
|
|
Release No.
34-97552
File Number:
3-21442
|
|
|
Release No.
34-97551
File Number:
3-21441
|
|
|
Release No.
34-97550
File Number:
3-21440
|
|
|
Release No.
34-97549
File Number:
3-21439
|
|
|
Release No.
33-11196, 34-97548
See Also:
Administrative Summary
File Number:
3-21438
|
|
|
Release No.
33-11195, 34-97543
File Number:
3-21437
|
|
|
Release No.
34-97540
See Also:
Proposed Distribution Plan
Submit Comments on:
Submit Comments on 3-20855
File Number:
3-20855
|
|
|
Release No.
IA-6314
File Number:
3-21436
|
|
|
Release No.
IA-6312
File Number:
3-21435
|
|
|
Release No.
34-97523, IA-6311
File Number:
3-21434
|
|
|
Release No.
IA-6310
See Also:
Administrative Summary
File Number:
3-21433
|
|
|
Release No.
34-97522
File Number:
3-20089
|
|
|
Release No.
34-97517
File Number:
3-20963
|
|
|
Release No.
34-97508
File Number:
3-21432
|
|
|
Release No.
34-97507
File Number:
3-21431
|
|
|
Release No.
33-11193
File Number:
3-21430
|
|
|
Release No.
33-11192
File Number:
3-21429
|
|
|
Release No.
33-11191
File Number:
3-21428
|
|
|
Release No.
33-11190
File Number:
3-21427
|
|
|
Release No.
33-11189
File Number:
3-21426
|
|
|
Release No.
33-11188
File Number:
3-21425
|
|
|
Release No.
33-11187
File Number:
3-21424
|
|
|
Release No.
33-11186
File Number:
3-21423
|
|
|
Release No.
33-11185
File Number:
3-21422
|
|
|
Release No.
33-11184
File Number:
3-21421
|
|
|
Release No.
IA-6307
File Number:
3-21419
|
|
|
Release No.
34-97503
File Number:
3-21420
|
|
|
Release No.
34-97499
See Also:
Administrative Summary
File Number:
3-21418
|
|
|
Release No.
34-97498 (Corrected)
File Number:
3-21417
|
|
|
Release No.
34-97497 (Corrected)
File Number:
3-21416
|
|
|
Release No.
34-97496
File Number:
3-16175
|
|
|
Release No.
33-11183, 34-97495
File Number:
3-21415
|
|
|
Release No.
34-97492
File Number:
3-21414
|
|
|
Release No.
34-97491
File Number:
3-21413
|
|
|
Release No.
34-97488
File Number:
3-21412
|
|
|
Release No.
34-97479, AAER-4406
File Number:
3-21411
|
|
|
Release No.
34-97477
|
|
|
Release No.
34-97476
|
|
|
Release No.
34-97475
File Number:
3-21388
|
|
|
Release No.
34-97470
See Also:
Distribution Plan
File Number:
3-17956
|
|
|
Release No.
34-97469
File Number:
3-21140, 3-21141
|
|
|
Release No.
34-97468
See Also:
Proposed Plan of Distribution
Comments Due:
30 days from date of this Notice
Submit Comments on:
EZTD Inc. - Notice of Proposed Plan of Distribution and Opportunity to Comment
File Number:
3-17673
|
|
|
Release No.
34-97467
File Number:
3-19499, 3-19500
|
|
|
Release No.
34-97463
File Number:
3-21221
|
|
|
Release No.
IA-6305
File Number:
3-21407
|
|
|
Release No.
34-97448, IA-6302
File Number:
3-21405
|
|
|
Release No.
IA-6303, IC-34908
File Number:
3-21406
|
|
|
Release No.
34-97433, IA-6301
File Number:
3-21404
|
|
|
Release No.
34-97427, IA-6300
File Number:
3-21403
|
|
|
Release No.
IA-6299
File Number:
3-21401
|
|
|
Release No.
IA-6296
File Number:
3-21400
|
|
|
Release No.
34-97407
File Number:
3-21399
|
|
|
Release No.
33-11179
See Also:
Administrative Summary
File Number:
3-21398
|
|
|
Release No.
34-97389
File Number:
3-19499, 3-19500
|
|
|
Release No.
34-97388
File Number:
3-16776
|
|
|
Release No.
34-97381, AAER-4403
See Also:
Administrative Summary
File Number:
3-21397
|
|
|
Release No.
34-97370
File Number:
3-21395
|
|
|
Release No.
34-97369
File Number:
3-21394
|
|
|
Release No.
IA-6291
File Number:
3-21393
|
|
|
Release No.
34-97352
File Number:
3-21392
|
|
|
Release No.
34-97351
File Number:
3-21391
|
|
|
Release No.
34-97350
File Number:
3-21389
|
|
|
Release No.
34-97349
File Number:
3-21388
|
|
|
Release No.
34-97345
See Also:
Proposed Distribution Plan
Comments Due:
30 days from date of this Notice
Submit Comments on:
Bayerische Motoren Werke Aktiengesellschaft, BMW of North America, LLC and BMW US Capital, LLC - Notice of Proposed Plan of Distribution and Opportunity to Comment
File Number:
3-20060
|
|
|
Release No.
34-97344
File Number:
3-21387
|
|
|
Release No.
34-97343
File Number:
3-21386
|
|
|
Release No.
34-97340
File Number:
3-21379
|
|
|
Release No.
34-97339
File Number:
3-21378
|
|
|
Release No.
34-97338
File Number:
3-21385
|
|
|
Release No.
34-97337
File Number:
3-21384
|
|
|
Release No.
34-97335
File Number:
3-21383
|
|
|
Release No.
34-97334
File Number:
3-21382
|
30 days from date of this Notice