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.
33-11174
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Release No.
33-11170
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Release No.
34-97175
File Number:
3-20954, 3-20955
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Release No.
34-97166, IA-6265
File Number:
3-21345
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Release No.
34-97172
File Number:
3-14191, 3-14192
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Release No.
34-97155
File Number:
3-21344
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Release No.
34-97154
File Number:
3-21343
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Release No.
34-97152
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Release No.
34-97153
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Release No.
33-11166, 34-97140, AAER-4391
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Release No.
34-97122
File Number:
3-15124
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Release No.
34-97128
File Number:
3-21096
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Release No.
34-97114, IA-6259
See Also:
Administrative Summary
File Number:
3-21340
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Release No.
IA-6260
File Number:
3-21341
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Release No.
34-97084
See Also:
Administrative Summary
File Number:
3-21337
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Release No.
34-97096
File Number:
3-21338
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Release No.
33-11165, 34-97098
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Release No.
34-97083
File Number:
3-17614
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Release No.
34-97064
See Also:
Administrative Summary
File Number:
3-21336
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Release No.
34-97045
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Release No.
34-97049, AAER-4386
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Release No.
34-97050, AAER-4385
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Release No.
34-97044, AAER-4384
See Also:
Administrative Summary
File Number:
3-21330
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Release No.
IA-6255
File Number:
3-21333
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Release No.
34-97035
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Release No.
34-97031
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Release No.
34-97036
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Release No.
34-97032
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Release No.
34-97037
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Release No.
34-97033
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Release No.
34-97038
File Number:
3-21329
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Release No.
34-97034, IA-6254
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Release No.
34-97030
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Release No.
33-11161, 34-97016
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Release No.
33-11162, 34-97017
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Release No.
34-97020, IA-6253
See Also:
Administrative Summary
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Release No.
33-11163
See Also:
Administrative Summary
File Number:
3-21320
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Release No.
34-96997
File Number:
3-20945
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Release No.
34-96998
File Number:
3-20687
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Release No.
34-97003
File Number:
3-21316
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Release No.
34-97008
File Number:
3-20003
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Release No.
34-96999
File Number:
3-21315
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Release No.
34-97000
File Number:
3-19266
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Release No.
34-96995, AAER-4380
File Number:
3-21314
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Release No.
34-96996
File Number:
3-20880
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Release No.
IA-6251
See Also:
Administrative Summary
File Number:
3-21313
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Release No.
34-96988, IA-6249
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Release No.
33-11160, 34-96989, IA-6250, IC-34843
See Also:
Administrative Summary
File Number:
3-21312
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Release No.
34-96991
File Number:
3-15098
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Release No.
34-96992
File Number:
3-15098
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Release No.
34-96982
File Number:
3-20185
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Release No.
34-96977
File Number:
3-20453
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Release No.
34-96978
File Number:
3-20310
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Release No.
34-96981
File Number:
3-20393
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Release No.
34-96960, AAER-4377
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Release No.
34-96961, AAER-4378
File Number:
3-21310
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Release No.
34-96964
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Release No.
34-96951
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Release No.
34-96952
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Release No.
34-96953
File Number:
3-21308
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Release No.
33-11157
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Release No.
34-96945
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Release No.
IA-6242
File Number:
3-21303
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Release No.
34-96913
File Number:
3-21302
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Release No.
33-11156, 34-96909, AAER-4375
See Also:
Administrative Summary
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Release No.
34-96900
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Release No.
34-96898
See Also:
Proposed Distribution Plan
Comments received are available:
3-20781
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Release No.
34-96901, IA-6237
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Release No.
34-96869
See Also:
Corrected Plan of Distribution
File Number:
3-19816
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Release No.
33-11154
File Number:
3-21297
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Release No.
34-96852, AAER-4374
See Also:
Administrative Summary
File Number:
3-21298
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Release No.
34-96819, AAER-4373
See Also:
Administrative Summary
File Number:
3-21296
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Release No.
34-96804
File Number:
3-21252
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Release No.
34-96813
File Number:
3-20252
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Release No.
34-96815
File Number:
3-21233
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Release No.
33-11153, 34-96805, IA-6228
See Also:
Administrative Summary
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Release No.
34-96796
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Release No.
34-96795
File Number:
3-21293
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Release No.
34-96789
File Number:
3-21292
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Release No.
34-96779
See Also:
Distribution Plan
File Number:
3-20455
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Release No.
34-96777
File Number:
3-17808, 3-17809
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Release No.
34-96778
File Number:
3-20781, 3-20782
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Release No.
34-96766, IA-6225
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Release No.
34-96776
File Number:
3-21290
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Release No.
34-96759
See Also:
Administrative Summary
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Release No.
34-96764
File Number:
3-21288
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Release No.
34-96760
File Number:
3-21148
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Release No.
34-96757
File Number:
3-17892
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Release No.
34-96754
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Release No.
34-96756
File Number:
3-20349
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Release No.
34-96736
File Number:
3-20687
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Release No.
34-96737
File Number:
3-17791, 3-17792, 3-17793, 3-17794
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Release No.
33-11150
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Release No.
34-96738
See Also:
Amended Distribution Plan
File Number:
3-20381
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Release No.
34-96726, IA-6223
File Number:
3-21285
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Release No.
34-96733
File Number:
3-20393
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Release No.
34-96719, IA-6222
See Also:
Administrative Summary
|
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Release No.
33-11149
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Release No.
34-96721
File Number:
3-21283
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Release No.
34-96709
File Number:
3-17956
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