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.
34-97856
See Also:
Distribution Plan
File Number:
3-17673
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Release No.
34-97855
File Number:
3-20003
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Release No.
34-97854
See Also:
Distribution Plan
File Number:
3-19831
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Release No.
34-97852
File Number:
3-21520
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Release No.
34-97858
File Number:
3-21521
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Release No.
34-97859
File Number:
3-21522
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Release No.
34-97845
File Number:
3-21517
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Release No.
34-97847
File Number:
3-21519
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Release No.
34-97835, AAER-4427
See Also:
Administrative Summary
File Number:
3-21513
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Release No.
34-97834
See Also:
Administrative Summary
File Number:
3-21512
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Release No.
33-11210, 34-97837, AAER-4429
See Also:
Administrative Summary
File Number:
3-21515
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Release No.
33-11209, 34-97836, AAER-4428
See Also:
Administrative Summary
File Number:
3-21514
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Release No.
33-11206, 34-97829, AAER-4425
See Also:
Administrative Summary
File Number:
3-21511
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Release No.
33-11208, 34-97830
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Release No.
34-97828
See Also:
Administrative Summary
File Number:
3-21509
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Release No.
34-97827
See Also:
Administrative Summary
File Number:
3-21508
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Release No.
34-97819
File Number:
3-20981
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Release No.
34-97818
File Number:
3-17582, 3-17628
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Release No.
34-97820
See Also:
Administrative Summary
File Number:
3-21504
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Release No.
34-97801
See Also:
Proposed Plan of Distribution
Comments received are available:
3-20393
Submit Comments on:
Notice of Proposed Plan of Distribution and Opportunity for comment
File Number:
3-20393
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Release No.
34-97802
File Number:
3-20881
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Release No.
34-97811
File Number:
3-20932
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Release No.
34-97787
File Number:
3-21502
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Release No.
34-97775
File Number:
3-21465
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Release No.
IA-6333
File Number:
3-21501
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Release No.
34-97774
File Number:
3-20963
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Release No.
34-97773, AAER-4423
File Number:
3-21500
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Release No.
IA-6332
File Number:
3-21499
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Release No.
34-97761, AAER-4422
File Number:
3-21497
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Release No.
34-97760, AAER-4421
File Number:
3-21498
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Release No.
34-97757, AAER-4420
File Number:
3-21496,
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Release No.
34-97756
File Number:
3-21495
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Release No.
34-97755, IA-6331
File Number:
3-21494
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Release No.
IA-6330
File Number:
3-21493
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Release No.
34-97740, AAER-4419
See Also:
Administrative Summary
File Number:
3-21491
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Release No.
IA-6329, IC-34943
File Number:
3-21490
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Release No.
IA-6328
File Number:
3-21489
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Release No.
34-97729
File Number:
3-17212
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Release No.
34-97697
File Number:
3-21488
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Release No.
33-11204
File Number:
3-20801
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Release No.
34-97685, AAER-4418
See Also:
Administrative Summary
File Number:
3-21486
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Release No.
34-97676
File Number:
3-21376
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Release No.
33-11203, 34-97677
File Number:
3-21485
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Release No.
34-97670
File Number:
3-21484
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Release No.
34-97668
File Number:
3-20060
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Release No.
34-97660
File Number:
3-21087
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Release No.
34-97655
File Number:
3-21015
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Release No.
33-11202, 34-97651, AAER-4417
See Also:
Administrative Summary
File Number:
3-21483
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Release No.
33-11201, 34-97650, AAER-4416
File Number:
3-21482
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Release No.
33-11200, 34-97649, AAER-4415
File Number:
3-21481
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Release No.
34-97646
File Number:
3-20881, 3-20882
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Release No.
34-97638
File Number:
3-21478
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Release No.
34-97637
File Number:
3-21477
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Release No.
IA-6320, AAER-4412
File Number:
3-21476
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Release No.
IA-6319
File Number:
3-21475
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Release No.
34-97636
File Number:
3-19991
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Release No.
34-97632
File Number:
3-21181
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Release No.
34-97631
See Also:
Administrative Summary
File Number:
3-21474
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Release No.
34-97625
See Also:
Proposed Plan of Distribution
Comments Due:
30 days from date of this Notice
Submit Comments on:
Notice of Proposed Plan of Distribution and Opportunity for Comment
File Number:
3-19831
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Release No.
34-97622, IA-6318
See Also:
Administrative Summary
File Number:
3-21473
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Release No.
34-97616
File Number:
3-21375
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Release No.
34-97611
File Number:
3-21472
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Release No.
34-97610
File Number:
3-21471
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Release No.
34-97609, AAER-4411
See Also:
Administrative Summary
File Number:
3-21470
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Release No.
34-97608
File Number:
3-21469
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Release No.
34-97607
File Number:
3-21468
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Release No.
34-97594
File Number:
3-21467
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Release No.
34-97593
File Number:
3-21466
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Release No.
34-97592
File Number:
3-21465
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Release No.
34-97589
File Number:
3-21464
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Release No.
34-97588
File Number:
3-21463
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Release No.
34-97583
File Number:
3-21462
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Release No.
34-97582
File Number:
3-21461
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Release No.
34-97576
File Number:
3-21460
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Release No.
34-97575
File Number:
3-21459
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Release No.
34-97571
File Number:
3-21458
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Release No.
34-97570
File Number:
3-21457
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Release No.
34-97569
File Number:
3-21456
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Release No.
34-97568
File Number:
3-21455
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Release No.
34-97567
File Number:
3-21454
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Release No.
34-97566
File Number:
3-21453
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Release No.
34-97564
File Number:
3-21450
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Release No.
34-97563
File Number:
3-21449
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Release No.
34-97562
File Number:
3-21448
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Release No.
34-97561
File Number:
3-21447
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Release No.
34-97560
File Number:
3-21446
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Release No.
34-97565
File Number:
3-21452
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Release No.
IA-6315
See Also:
Administrative Summary
File Number:
3-21445
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Release No.
34-97554
File Number:
3-21444
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Release No.
34-97553
File Number:
3-21443
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Release No.
34-97552
File Number:
3-21442
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Release No.
34-97551
File Number:
3-21441
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Release No.
34-97550
File Number:
3-21440
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Release No.
34-97549
File Number:
3-21439
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Release No.
33-11196, 34-97548
See Also:
Administrative Summary
File Number:
3-21438
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Release No.
33-11195, 34-97543
File Number:
3-21437
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Release No.
34-97540
See Also:
Proposed Distribution Plan
Comments Due:
30 days from date of this Notice
Submit Comments on:
Submit Comments on 3-20855
File Number:
3-20855
|
|
|
Release No.
IA-6314
File Number:
3-21436
|
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Release No.
IA-6312
File Number:
3-21435
|
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Release No.
34-97523, IA-6311
File Number:
3-21434
|
30 days from date of this Notice