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.
34-98292
File Number:
3-21610
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Release No.
34-98289
File Number:
3-20771
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Release No.
IA-6400
File Number:
3-21609
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Release No.
IA-6399
File Number:
3-21608
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Release No.
IA-6398
File Number:
3-21607
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Release No.
IA-6395
File Number:
3-21605
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Release No.
ia-6396
File Number:
3-21606
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Release No.
34-98282
File Number:
3-21604
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Release No.
34-98281
File Number:
3-21603
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Release No.
33-11228
File Number:
3-21602
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Release No.
IA-6394
File Number:
3-21601
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Release No.
34-98272, IA-6393, AAER-4453
See Also:
Administrative Summary
File Number:
3-21600
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Release No.
34-98270
File Number:
3-21599
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Release No.
34-98269
File Number:
3-21598
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Release No.
34-98257
File Number:
3-21597
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Release No.
34-98256
File Number:
3-21596
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Release No.
34-98255
File Number:
3-21595
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Release No.
34-98254
File Number:
3-21594
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Release No.
34-98251
File Number:
3-21593
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Release No.
34-98250
File Number:
3-21592
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Release No.
34-98246
File Number:
3-21204
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Release No.
34-98244
File Number:
3-21589
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Release No.
IA-6391
File Number:
3-21590
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Release No.
34-98248, IA-6392
File Number:
3-21591
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Release No.
34-98243, AAER-4452
See Also:
Administrative Summary
File Number:
3-21588
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Release No.
34-98238
File Number:
3-21583
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Release No.
34-98234
File Number:
3-21587
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Release No.
33-11227
See Also:
Administrative Summary
File Number:
3-21586
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Release No.
33-11226
File Number:
3-21585
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Release No.
34-98229, AAER-4451
File Number:
3-21584
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Release No.
34-98222, AAER-4450
File Number:
3-21581
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Release No.
34-98221, IA-6387
File Number:
3-21580
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Release No.
34-98218, AAER-4449
File Number:
3-21579
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Release No.
34-98209
File Number:
3-20393
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Release No.
34-98194, AAER-4448
See Also:
Administrative Summary
File Number:
3-21577
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Release No.
34-98193, AAER-4447
See Also:
Administrative Summary
File Number:
3-21576
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Release No.
34-98192, AAER-4446
See Also:
Administrative Summary
File Number:
3-21574
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Release No.
34-98190, AAER-4444
See Also:
Administrative Summary
File Number:
3-21573
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Release No.
34-98188, AAER-4443
See Also:
Administrative Summary
File Number:
3-21572
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Release No.
34-98195, IA-6382
File Number:
3-21578
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Release No.
34-98191, AAER-4445
File Number:
3-21575
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Release No.
IA-6381
See Also:
Administrative Summary
File Number:
3-21571
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Release No.
34-98186, AAER-4442
File Number:
3-21570
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Release No.
IA-6380
File Number:
3-21569
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Release No.
34-98166
File Number:
3-21568
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Release No.
IA-6379
File Number:
3-21567
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Release No.
34-98153
File Number:
3-21565
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Release No.
34-98154; IA-6378
File Number:
3-21566
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Release No.
34-98141
File Number:
3-21564
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Release No.
34-98133; IA-6377
File Number:
3-21563
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Release No.
33-11223, 34-98132, AAER-4441
See Also:
Administrative Summary
File Number:
3-21562
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Release No.
33-11222, 34-98131, AAER-4440
See Also:
Administrative Summary
File Number:
3-21561
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Release No.
34-98119
See Also:
Proposed Distribution Plan
File Number:
3-20880
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Release No.
34-98118, AAER-4438
File Number:
3-21560
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Release No.
34-98103, AAER-4437
File Number:
3-21559
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Release No.
34-98079
File Number:
3-21555
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Release No.
34-98078
File Number:
3-21554
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Release No.
34-98077
File Number:
3-21553
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Release No.
34-98080
File Number:
3-21556
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Release No.
34-98075
See Also:
Waiver Order
File Number:
3-21551
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Release No.
34-98081
File Number:
3-21557
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Release No.
34-98082
File Number:
3-21558
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Release No.
34-98076
See Also:
Waiver Order
File Number:
3-21552
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Release No.
34-98074, IA-6369
See Also:
Waiver Order
File Number:
3-21550
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Release No.
33-11220; IA-6368
See Also:
Administrative Summary
File Number:
3-21548
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Release No.
33-11219, 34-98065, AAER-4435
See Also:
Administrative Summary
File Number:
3-21547
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Release No.
33-11218; IA-6367
File Number:
3-21546
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Release No.
IA-6363
File Number:
3-21545
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Release No.
33-11217
File Number:
3-21544
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Release No.
34-98049
See Also:
Proposed Plan of Distribution
File Number:
3-20881
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Release No.
34-98041
File Number:
3-20381
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Release No.
34-98039, AAER-4434
File Number:
3-21543
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Release No.
34-98034, IA-6362, IC-34979
File Number:
3-21542
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Release No.
IA-6361
File Number:
3-21541
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Release No.
34-98031, IA-6360
File Number:
3-21540
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Release No.
34-98030, AAER-4433
See Also:
Administrative Summary
File Number:
3-21539
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Release No.
IA-6359, IC-34978
See Also:
Administrative Summary
File Number:
3-21538
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Release No.
IA-6358, IC-34977
See Also:
Administrative Summary
File Number:
3-21537
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Release No.
34-98024
File Number:
3-20881
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Release No.
IA-6355
File Number:
3-21536
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Release No.
33-11215
See Also:
Administrative Summary
File Number:
3-21535
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Release No.
34-97957
See Also:
Administrative Summary
File Number:
3-21533
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Release No.
33-11213 , 34-97958
File Number:
3-21534
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Release No.
34-97949
File Number:
3-13675
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Release No.
34-97930
File Number:
3-20855
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Release No.
33-11212, AAER-4431, 34-97940
File Number:
3-21532
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Release No.
34-97937, IA-6350
See Also:
Administrative Summary
File Number:
3-21531
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Release No.
34-97931
File Number:
3-15948
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Release No.
34-97915
See Also:
Administrative Summary
File Number:
3-21530
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Release No.
34-97921
See Also:
Proposed Plan of Distribution
File Number:
3-19494
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Release No.
34-97916
File Number:
3-20906
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Release No.
34-97907
File Number:
3-21529
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Release No.
34-97906
File Number:
3-21528
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Release No.
34-97886, IA-6345
File Number:
3-21527
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Release No.
34-97878
File Number:
3-21526
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Release No.
IA-6341
File Number:
3-21523
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Release No.
IA-6343
File Number:
3-21525
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Release No.
34-97874
File Number:
3-21181
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Release No.
34-97872
File Number:
3-21524
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Release No.
34-97856
See Also:
Distribution Plan
File Number:
3-17673
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