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.
IA-6310
See Also:
Administrative Summary
File Number:
3-21433
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Release No.
34-97522
File Number:
3-20089
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Release No.
34-97517
File Number:
3-20963
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Release No.
34-97508
File Number:
3-21432
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Release No.
34-97507
File Number:
3-21431
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Release No.
33-11193
File Number:
3-21430
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Release No.
33-11192
File Number:
3-21429
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Release No.
33-11191
File Number:
3-21428
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Release No.
33-11190
File Number:
3-21427
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Release No.
33-11189
File Number:
3-21426
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Release No.
33-11188
File Number:
3-21425
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Release No.
33-11187
File Number:
3-21424
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Release No.
33-11186
File Number:
3-21423
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Release No.
33-11185
File Number:
3-21422
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Release No.
33-11184
File Number:
3-21421
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Release No.
IA-6307
File Number:
3-21419
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Release No.
34-97503
File Number:
3-21420
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Release No.
34-97499
See Also:
Administrative Summary
File Number:
3-21418
|
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Release No.
34-97498 (Corrected)
File Number:
3-21417
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Release No.
34-97497 (Corrected)
File Number:
3-21416
|
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Release No.
34-97496
File Number:
3-16175
|
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|
Release No.
33-11183, 34-97495
File Number:
3-21415
|
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Release No.
34-97492
File Number:
3-21414
|
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Release No.
34-97491
File Number:
3-21413
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Release No.
34-97488
File Number:
3-21412
|
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|
Release No.
34-97479, AAER-4406
File Number:
3-21411
|
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|
Release No.
34-97477
|
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Release No.
34-97476
|
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Release No.
34-97475
File Number:
3-21388
|
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|
Release No.
34-97470
See Also:
Distribution Plan
File Number:
3-17956
|
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|
Release No.
34-97469
File Number:
3-21140, 3-21141
|
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|
Release No.
34-97468
See Also:
Proposed Plan of Distribution
Submit Comments on:
EZTD Inc. - Notice of Proposed Plan of Distribution and Opportunity to Comment
File Number:
3-17673
|
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|
Release No.
34-97467
File Number:
3-19499, 3-19500
|
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|
Release No.
34-97463
File Number:
3-21221
|
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|
Release No.
IA-6305
File Number:
3-21407
|
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|
Release No.
34-97448, IA-6302
File Number:
3-21405
|
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|
Release No.
IA-6303, IC-34908
File Number:
3-21406
|
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|
Release No.
34-97433, IA-6301
File Number:
3-21404
|
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Release No.
34-97427, IA-6300
File Number:
3-21403
|
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Release No.
IA-6299
File Number:
3-21401
|
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|
Release No.
IA-6296
File Number:
3-21400
|
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|
Release No.
34-97407
File Number:
3-21399
|
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|
Release No.
33-11179
See Also:
Administrative Summary
File Number:
3-21398
|
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|
Release No.
34-97389
File Number:
3-19499, 3-19500
|
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|
Release No.
34-97388
File Number:
3-16776
|
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|
Release No.
34-97381, AAER-4403
See Also:
Administrative Summary
File Number:
3-21397
|
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Release No.
34-97370
File Number:
3-21395
|
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Release No.
34-97369
File Number:
3-21394
|
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Release No.
IA-6291
File Number:
3-21393
|
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Release No.
34-97352
File Number:
3-21392
|
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Release No.
34-97351
File Number:
3-21391
|
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Release No.
34-97350
File Number:
3-21389
|
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|
Release No.
34-97349
File Number:
3-21388
|
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|
Release No.
34-97345
See Also:
Proposed Distribution Plan
Comments Due:
30 days from date of this Notice
Submit Comments on:
Bayerische Motoren Werke Aktiengesellschaft, BMW of North America, LLC and BMW US Capital, LLC - Notice of Proposed Plan of Distribution and Opportunity to Comment
File Number:
3-20060
|
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|
Release No.
34-97344
File Number:
3-21387
|
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Release No.
34-97343
File Number:
3-21386
|
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Release No.
34-97340
File Number:
3-21379
|
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Release No.
34-97339
File Number:
3-21378
|
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Release No.
34-97338
File Number:
3-21385
|
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|
Release No.
34-97337
File Number:
3-21384
|
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Release No.
34-97335
File Number:
3-21383
|
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Release No.
34-97334
File Number:
3-21382
|
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Release No.
34-97333
File Number:
3-21381
|
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Release No.
34-97332
File Number:
3-21380
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Release No.
34-97331
File Number:
3-21377
|
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Release No.
34-97330
File Number:
3-21376
|
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Release No.
34-97329
File Number:
3-21375
|
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Release No.
34-97328
File Number:
3-21374
|
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Release No.
IA-6288
File Number:
3-21373
|
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Release No.
34-97317, AAER-4401
File Number:
3-21372
|
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Release No.
IA-6286
File Number:
3-21371
|
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Release No.
34-97312, IA-6285
File Number:
3-21370
|
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Release No.
IA-6284
See Also:
Administrative Summary
File Number:
3-21369
|
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Release No.
34-97299
File Number:
3-21368
|
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Release No.
34-97298
File Number:
3-21367
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Release No.
IA-6283
File Number:
3-21366
|
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Release No.
IA-6282
File Number:
3-21120
|
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Release No.
34-97292, AAER-4400
File Number:
3-21365
|
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Release No.
IA-6279
File Number:
3-21364
|
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Release No.
34-97270, AAER-4398
File Number:
21363
|
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Release No.
34-97269, AAER-4397
File Number:
3-21362
|
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Release No.
34-97259, AAER-4396
File Number:
3-21361
|
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Release No.
34-97258
File Number:
3-18561, 3-18562, 3-18563
|
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Release No.
34-97245
File Number:
3-21360
|
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Release No.
34-97244, IA-6273
File Number:
3-21359
|
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Release No.
34-97243
File Number:
3-21357
|
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Release No.
IA-6272
File Number:
3-21358
|
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Release No.
34-97242, IA-6271
File Number:
3-21356
|
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|
Release No.
IA-6270, IC-34875
File Number:
3-21355
|
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|
Release No.
34-97221
File Number:
3-21181
|
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Release No.
34-97216, AAER-4394
File Number:
3-21353
|
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Release No.
34-97219
|
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|
Release No.
34-97213, IA-6266
File Number:
3-21352
|
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|
Release No.
34-97203
File Number:
3-18831
|
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|
Release No.
34-97208
File Number:
3-20781
|
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Release No.
34-97187
|
|
|
Release No.
33-11173
|
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|
Release No.
33-11174
|
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|
Release No.
33-11170
|
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Release No.
33-11175
|
30 days from date of this Notice