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.
34-98481
File Number:
3-21702
|
|
|
Release No.
34-98479
File Number:
3-21700
|
|
|
Release No.
34-98478
See Also:
Administrative Summary
File Number:
3-21699
|
|
|
Release No.
34-98477
File Number:
3-21698
|
|
|
Release No.
33-11240
See Also:
Administrative Summary
File Number:
3-21697
|
|
|
Release No.
34-98473
File Number:
3-21696
|
|
|
Release No.
34-98471
File Number:
3-21695
|
|
|
Release No.
34-98469
File Number:
3-21694
|
|
|
Release No.
IA-6426
File Number:
3-21692
|
|
|
Release No.
34-98466
File Number:
3-21693
|
|
|
Release No.
34-98462
File Number:
3-21688
|
|
|
Release No.
34-98463
File Number:
3-21689
|
|
|
Release No.
34-98464
|
|
|
Release No.
34-98465
File Number:
3-21691
|
|
|
Release No.
34-98461
File Number:
3-21687
|
|
|
Release No.
34-98460
File Number:
3-21686
|
|
|
Release No.
34-98459
File Number:
3-21685
|
|
|
Release No.
34-98453
File Number:
3-21684
|
|
|
Release No.
34-98452
File Number:
3-21683
|
|
|
Release No.
33-11239
See Also:
Administrative Summary
File Number:
3-21682
|
|
|
Release No.
34-98440
File Number:
3-21681
|
|
|
Release No.
34-98439
File Number:
3-21680
|
|
|
Release No.
34-98431
File Number:
3-21677
|
|
|
Release No.
34-98430
File Number:
3-21676
|
|
|
Release No.
34-98436
File Number:
3-21679
|
|
|
Release No.
33-11237, 34-98432, IA-6425, IC-34999
See Also:
Administrative Summary
File Number:
3-21678
|
|
|
Release No.
34-98429
File Number:
3-21675
|
|
|
Release No.
34-98426
File Number:
3-21542
|
|
|
Release No.
34-98425
File Number:
3-19541
|
|
|
Release No.
34-98424
File Number:
3-21488
|
|
|
Release No.
33-11236
See Also:
Administrative Summary
File Number:
3-21674
|
|
|
Release No.
IA-6423
See Also:
Administrative Summary
File Number:
3-21673
|
|
|
Release No.
34-98423
File Number:
3-18843
|
|
|
Release No.
34-98418
See Also:
Administrative Summary
File Number:
3-21669
|
|
|
Release No.
34-98417
File Number:
3-20092
|
|
|
Release No.
34-98415
File Number:
3-20537
|
|
|
Release No.
34-98416
File Number:
3-20932
|
|
|
Release No.
34-98414
File Number:
3-20310
|
|
|
Release No.
34-98413
File Number:
3-21672
|
|
|
Release No.
34-98412
File Number:
3-21671
|
|
|
Release No.
34-98411
File Number:
3-21670
|
|
|
Release No.
34-98408
See Also:
Distribution Plan
File Number:
3-19494
|
|
|
Release No.
34-98401
See Also:
Administrative Summary
File Number:
3-21668
|
|
|
Release No.
34-98399
See Also:
Proposed Distribution Plan
Submit Comments on:
Notice of Proposed Plan of Distribution and Opportunity for Comment
File Number:
3-17808, 3-17809
|
|
|
Release No.
33-11234, 34-98392, IA-6422, IC-34997
File Number:
3-21667
|
|
|
Release No.
34-98398
File Number:
3-20523
|
|
|
Release No.
34-98391
File Number:
3-21666
|
|
|
Release No.
34-98384
File Number:
3-21665
|
|
|
Release No.
34-98383
File Number:
3-21664
|
|
|
Release No.
34-98382
File Number:
3-21663
|
|
|
Release No.
34-98381, IA-6421
File Number:
3-21662
|
|
|
Release No.
34-98379
File Number:
3-21661
|
|
|
Release No.
34-98374, IA-6419
File Number:
3-21660
|
|
|
Release No.
34-98371
File Number:
3-21658
|
|
|
Release No.
34-98370
File Number:
3-21657
|
|
|
Release No.
34-98369
File Number:
3-21656
|
|
|
Release No.
33-11233
File Number:
3-21655
|
|
|
Release No.
34-98364
File Number:
3-21654
|
|
|
Release No.
34-98356
File Number:
3-21653
|
|
|
Release No.
33-11230, IA-6414
File Number:
3-21651
|
|
|
Release No.
34-98354, IA-6415
See Also:
Administrative Summary
File Number:
3-21652
|
|
|
Release No.
34-98352, AAER-4458
File Number:
3-21650
|
|
|
Release No.
34-98351
See Also:
Administrative Summary
File Number:
3-21649
|
|
|
Release No.
IA-6412
File Number:
3-21644
|
|
|
Release No.
IA-6411
File Number:
3-21643
|
|
|
Release No.
IA-6410
File Number:
3-21642
|
|
|
Release No.
IA-6409
File Number:
3-21641
|
|
|
Release No.
IA-6408
File Number:
3-21640
|
|
|
Release No.
IA-6407
File Number:
3-21639
|
|
|
Release No.
IA-6406
File Number:
3-21638
|
|
|
Release No.
IA-6405
File Number:
3-21637
|
|
|
Release No.
IA-6404
File Number:
3-21636
|
|
|
Release No.
34-98346
See Also:
Administrative Summary
File Number:
3-21648
|
|
|
Release No.
34-98345
File Number:
3-21647
|
|
|
Release No.
IA-6413
See Also:
Administrative Summary
File Number:
3-21646
|
|
|
Release No.
34-98344
File Number:
3-21645
|
|
|
Release No.
34-98341
File Number:
3-21634
|
|
|
Release No.
34-98343
File Number:
3-21635
|
|
|
Release No.
33-11231, 34-98323
File Number:
3-21630
|
|
|
Release No.
34-98326
File Number:
3-21633
|
|
|
Release No.
34-98325
File Number:
3-21632
|
|
|
Release No.
34-98324
File Number:
3-21631
|
|
|
Release No.
34-98322
File Number:
3-21629
|
|
|
Release No.
33-11229
File Number:
3-21627
|
|
|
Release No.
34-98315
File Number:
3-21626
|
|
|
Release No.
34-98313
File Number:
3-21625
|
|
|
Release No.
34-98310
File Number:
3-21624
|
|
|
Release No.
34-98309
File Number:
3-21623
|
|
|
Release No.
34-98307, AAER-4456
File Number:
3-21622
|
|
|
Release No.
34-98306, AAER-4455
File Number:
3-21621
|
|
|
Release No.
34-98305
File Number:
3-21620
|
|
|
Release No.
34-98301
File Number:
3-21619
|
|
|
Release No.
34-98300
File Number:
3-21618
|
|
|
Release No.
34-98299
File Number:
3-21617
|
|
|
Release No.
34-98298
File Number:
3-21611
|
|
|
Release No.
34-98297
File Number:
3-21616
|
|
|
Release No.
34-98296
File Number:
3-21615
|
|
|
Release No.
34-98295
File Number:
3-21614
|
|
|
Release No.
34-98294
File Number:
3-21613
|
|
|
Release No.
34-98293
File Number:
3-21612
|
Thirty (30) days from the date of this Notice