Administrative Proceedings
The links below direct you to the individual case pages for litigated administrative proceedings adjudicated by the Commission, including its consideration of appeals from initial decisions issued by administrative law judges or from SRO or PCAOB action. The case pages contain the Commission opinions and orders as well as significant filings in 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
Below is a chronological list of 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. The orders and other issuances in litigated administrative proceedings below also may be found on the individual case pages linked on the Open Litigated Administrative Proceedings and Closed Litigated Administrative Proceedings pages, together with filings made in the proceedings. The issuances pertaining to distribution proceedings may also be found in the individual case charts on the Distributions in Commission Administrative Proceedings: Notices and Orders Pertaining to Disgorgement and Fair Funds page.
| Date Sort descending | Respondents |
|---|---|
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Release No.
33-10153
File Number:
3-17446
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Release No.
33-10164
File Number:
3-17458
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Release No.
33-10154
File Number:
3-17447
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Release No.
33-10165
File Number:
3-17457
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Release No.
33-10155
File Number:
3-17448
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Release No.
33-10166
File Number:
3-17459
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Release No.
33-10178
File Number:
3-17471
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Release No.
33-10168
File Number:
3-17461
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Release No.
33-10179
File Number:
3-17472
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Release No.
33-10169
File Number:
3-17462
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Release No.
33-10180
File Number:
3-17473
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Release No.
33-10170
File Number:
3-17463
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Release No.
33-10181
File Number:
3-17474
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Release No.
33-10171
File Number:
3-17465
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Release No.
33-10182
File Number:
3-17475
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Release No.
33-10172
File Number:
3-17464
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Release No.
33-10183
File Number:
3-17476
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Release No.
33-10173
File Number:
3-17466
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Release No.
33-10174
File Number:
3-17467
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Release No.
33-10175
File Number:
3-17468
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Release No.
33-10176
File Number:
3-17469
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Release No.
33-10177
File Number:
3-17470
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Release No.
33-10188
File Number:
3-17481
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Release No.
34-78657
File Number:
3-17419
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Release No.
33-10189
File Number:
3-17482
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Release No.
34-78658
File Number:
3-17420
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Release No.
33-10190
File Number:
3-17483
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Release No.
33-10191
File Number:
3-17484
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Release No.
33-10192
File Number:
3-17485
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Release No.
33-10193
File Number:
3-17486
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Release No.
33-10194
File Number:
3-17487
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Release No.
33-10184
File Number:
3-17477
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Release No.
33-10195
File Number:
3-17488
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Release No.
33-10185
File Number:
3-17478
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Release No.
33-10196
File Number:
3-17489
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Release No.
33-10186
File Number:
3-17479
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Release No.
33-10197
File Number:
3-17490
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Release No.
33-10187
File Number:
3-17480
|
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Release No.
34-78656
File Number:
3-17418
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Release No.
34-78659
See Also:
Proposed Plan of Distribution
Comments Due:
30 days from date of this Notice
Submit Comments on:
3-14594
File Number:
3-14594
|
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Release No.
IA-4494
See Also:
Administrative Summary
File Number:
3-17491
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Release No.
IA-4493
File Number:
3-17409
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Release No.
34-78639
File Number:
3-17393
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Release No.
34-78645
File Number:
3-17410
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Release No.
34-78650
File Number:
3-17415
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Release No.
34-78651
File Number:
3-17416
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Release No.
34-78655
File Number:
3-17417
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Release No.
34-78646
File Number:
3-17411
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Release No.
34-78647
File Number:
3-17412
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Release No.
34-78648
File Number:
3-17413
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Release No.
34-78649
File Number:
3-17414
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Release No.
34-78623
File Number:
3-17407
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Release No.
34-78624
File Number:
3-17408
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Release No.
34-78625
File Number:
3-17344
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Release No.
34-78608
File Number:
3-17405
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Release No.
34-78606
File Number:
3-17403
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Release No.
34-78607, AAER-3795
See Also:
Administrative Summary
File Number:
3-17126
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Release No.
34-78599
File Number:
3-17399
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Release No.
IA-4490
File Number:
3-17401
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Release No.
34-78603
File Number:
3-17400
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Release No.
34-78579
File Number:
3-17388
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Release No.
34-78580
File Number:
3-17389
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Release No.
34-78581
File Number:
3-17390
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Release No.
34-78582
File Number:
3-17391
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Release No.
34-78583
File Number:
3-17392
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Release No.
34-78585, IA-4487, IC-32217
File Number:
3-17394
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Release No.
34-78591, IA-4489
File Number:
3-17397
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Release No.
IA-4488
File Number:
3-17395
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Release No.
34-78590
File Number:
3-17396
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Release No.
33-10122, 34-78594
File Number:
3-17398
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Release No.
IA-4483, IC-32212
See Also:
Administrative Summary
File Number:
3-17385
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Release No.
33-10120, 34-78572, IA-4485, IC-32214
File Number:
3-17387
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Release No.
34-78571, IA-4484, IC-32213
See Also:
Administrative Summary
File Number:
3-17386
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Release No.
34-78574, IC-32215
See Also:
Administrative Summary
File Number:
3-17172
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Release No.
34-78577
See Also:
Proposed Plan of Distribution
Comments Due:
30 days from date of this Notice
Submit Comments on:
3-16017
File Number:
3-16017
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Release No.
34-78561
File Number:
3-17381
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Release No.
34-78562
File Number:
3-17382
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Release No.
34-78563
File Number:
3-17383
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Release No.
34-78569
File Number:
3-17384
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Release No.
IA-4479
File Number:
3-17377
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Release No.
34-78551, IA-4480
File Number:
3-17378
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Release No.
34-78558, AAER-3794
See Also:
Administrative Summary
File Number:
3-17379
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Release No.
34-78559, IA-4481
File Number:
3-17380
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Release No.
34-78541
File Number:
3-13847
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Release No.
34-78528
File Number:
3-17371
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Release No.
34-78537, IA-4477
File Number:
3-17372
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Release No.
34-78538
File Number:
3-17374
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Release No.
34-78539
File Number:
3-17375
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Release No.
IA-4478
File Number:
3-17373
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Release No.
34-78540
File Number:
3-17376
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Release No.
34-78507
File Number:
3-17366
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Release No.
IA-4473
File Number:
3-17368
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Release No.
34-78515
File Number:
3-17367
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Release No.
34-78516, IA-4474
File Number:
3-17369
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Release No.
34-78518, IA-4475
File Number:
3-17370
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Release No.
IA-4472
File Number:
3-17366
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Release No.
34-78491
File Number:
3-17242
|
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Release No.
34-78492
File Number:
3-17248
|
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Release No.
34-78493
File Number:
3-17259
|
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Release No.
34-78494
File Number:
3-17247
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