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.
34-99455
File Number:
3-21691
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Release No.
34-99454
File Number:
3-20792
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Release No.
34-99441
File Number:
3-21103
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Release No.
34-99437, IA-6537
File Number:
3-21840
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Release No.
34-99436
File Number:
3-21839
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Release No.
33-11266
File Number:
3-21838
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Release No.
IA-6536
File Number:
3-21837
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Release No.
IA-6535
File Number:
3-21836
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Release No.
IA-6533
File Number:
3-21835
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Release No.
34-99412, IA-6532
File Number:
3-21834
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Release No.
34-99410
File Number:
3-21833
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Release No.
34-99389
File Number:
3-20954, 3-20955
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Release No.
34-99388
File Number:
3-21832
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Release No.
33-11267, 34-99384, AAER-4483
See Also:
Administrative Summary
File Number:
3-21831
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Release No.
34-99348, AAER-4482
File Number:
3-20600
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Release No.
IA-6531
File Number:
3-21830
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Release No.
34-99344, IA-6530
File Number:
3-21829
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Release No.
34-99341
File Number:
3-21828
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Release No.
34-99337
File Number:
3-21826
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Release No.
34-99336
File Number:
3-21825
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Release No.
34-99308, AAER-4481
File Number:
3-21824
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Release No.
34-99284
File Number:
3-19899, 3-19900, 3-19901, 3-19902
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Release No.
34-99278
File Number:
3-21585
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Release No.
IA-6520
File Number:
3-21823
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Release No.
34-99255
File Number:
3-20003
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Release No.
34-99254
File Number:
3-21822
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Release No.
34-99253
See Also:
Amended Proposed Distribution Plan
File Number:
3-20855
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Release No.
34-99246
File Number:
3-19499, 3-19500
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Release No.
34-99239, IA-6515, IC-35082
See Also:
Administrative Summary
File Number:
3-21820
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Release No.
34-99243
File Number:
3-21821
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Release No.
IA-6514
See Also:
Administrative Summary
File Number:
3-21819
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Release No.
34-99237
File Number:
3-19927, 3-19928
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Release No.
33-11262, IC-35079
File Number:
3-21817
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Release No.
33-11261, IC-35078
File Number:
3-21815
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Release No.
33-11260, 34-99228, AAER-4480
File Number:
3-21816
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Release No.
34-99216
File Number:
3-19704
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Release No.
34-99215
File Number:
3-19927, 3-19928
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Release No.
IA-6509
File Number:
3-21814
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Release No.
IA-6508
File Number:
3-21813
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Release No.
34-99178
File Number:
3-21812
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Release No.
34-99158, IA-6504, IC-35067
File Number:
3-21811
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Release No.
34-99146
File Number:
3-21140
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Release No.
34-99145
See Also:
Plan of Distribution
File Number:
3-20526
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Release No.
34-99144
File Number:
3-21610
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Release No.
34-99128, IA-6501
File Number:
3-21810
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Release No.
33-11257, 34-99117, IA-6500
File Number:
3-21809
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Release No.
34-99080
File Number:
3-21657
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Release No.
34-99086
File Number:
3-21653
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Release No.
34-99078
File Number:
3-20252
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Release No.
34-99077
File Number:
3-21766
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Release No.
34-99076
File Number:
3-21145
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Release No.
34-99069
File Number:
3-21625
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Release No.
34-99068
File Number:
3-21695
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Release No.
IA-6491
See Also:
Administrative Summary
File Number:
3-21807
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Release No.
33-11256, 34-99058
See Also:
Administrative Summary
File Number:
3-21806
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Release No.
34-99055
File Number:
3-21602
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Release No.
34-99054
File Number:
3-21295
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Release No.
34-99038
File Number:
3-21181
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Release No.
34-99039
File Number:
3-21761
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Release No.
33-11255, 34-99033, AAER-4475
File Number:
3-18020
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Release No.
34-99016
See Also:
Plan of Distribution
File Number:
3-20060
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Release No.
34-99010
File Number:
3-20252, 3-20253
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Release No.
34-99004
File Number:
3-21803
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Release No.
34-99006, IA-6489
File Number:
3-21804
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Release No.
IA-6487
File Number:
3-21303
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Release No.
IA-6486
File Number:
3-21802
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Release No.
34-98992
File Number:
3-20671
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Release No.
34-98983
See Also:
Administrative Summary
File Number:
3-21800
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Release No.
34-98984
See Also:
Administrative Summary
File Number:
3-21801
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Release No.
34-98971
|
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Release No.
34-98940
See Also:
Plan of Distribution
File Number:
3-17808, 3-17809
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Release No.
34-98939
File Number:
3-19494
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Release No.
IA-6483
File Number:
3-21798
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Release No.
34-98936
See Also:
Plan of Disribution
File Number:
3-20932
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Release No.
34-98923
File Number:
3-21797
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Release No.
34-98922
File Number:
3-20963
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Release No.
34-98918
File Number:
3-21181
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Release No.
34-98916
File Number:
3-21602
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Release No.
34-98914
File Number:
3-21610
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Release No.
IA-6481
File Number:
3-21795
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Release No.
34-98890, IA-6480
File Number:
3-21794
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Release No.
34-98871
File Number:
3-21721
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Release No.
34-98870
File Number:
3-21690
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Release No.
34-98851
File Number:
3-21655
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Release No.
34-98849, AAER-4473
File Number:
3-21792
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Release No.
34-98844
File Number:
3-20163
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Release No.
34-98840, IA-6474
File Number:
3-21791
|
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Release No.
34-98827
File Number:
3-21790
|
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Release No.
34-98824
See Also:
Administrative Summary
File Number:
3-21789
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Release No.
34-98823
File Number:
3-21788
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Release No.
34-98804
File Number:
3-20252
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Release No.
34-98803
File Number:
3-21585
|
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Release No.
IA-6470
File Number:
3-21787
|
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Release No.
IA-6468, IC-35035
File Number:
3-21786
|
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Release No.
34-98786
File Number:
3-21466
|
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Release No.
34-98788, AAER-4472
File Number:
3-21785
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Release No.
34-98779, AAER-4471
File Number:
3-21784
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Release No.
34-98773
File Number:
3-21394
|
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Release No.
34-98774
File Number:
3-21716
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Release No.
34-98776
File Number:
3-21722
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