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.
34-96114
File Number:
3-18968
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Release No.
34-96115
File Number:
3-20963
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Release No.
34-96103
File Number:
3-21211
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Release No.
33-11120, 34-96106
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Release No.
34-96095
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Release No.
34-96071, AAER-4354
File Number:
3-17746
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Release No.
34-96072
File Number:
3-21210
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Release No.
34-96064
File Number:
3-16877
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Release No.
34-96067
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Release No.
IA-6169
File Number:
3-21208
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Release No.
34-96025
File Number:
3-21206
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Release No.
34-96032, IA-6167
File Number:
3-21207
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Release No.
34-96033
File Number:
3-21044
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Release No.
IA-6164
File Number:
3-21205
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Release No.
34-96008; IA-6163
File Number:
3-21204
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Release No.
34-96010
File Number:
3-20945
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Release No.
IA-6160
File Number:
3-21202
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Release No.
34-95988
See Also:
Distribution Plan
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Release No.
34-95989, IA-6159
File Number:
3-21201
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Release No.
34-95991
File Number:
3-21203
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Release No.
34-96004
File Number:
3-20971
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Release No.
34-96000
See Also:
Proposed Distribution Plan
File Number:
3-20030
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Release No.
34-95983, IA-6157
File Number:
3-21199
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Release No.
IA-6158
File Number:
3-21200
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Release No.
33-11116
File Number:
3-21197
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Release No.
34-95965
See Also:
Proposed Distribution Plan
Comments Due:
30 days from date of this Notice
Submit Comments on:
File No.: 3-18897
File Number:
3-18897
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Release No.
34-95966
File Number:
3-21198
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Release No.
33-11113
File Number:
3-21186
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Release No.
34-95948, AAER-4346
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Release No.
33-11114, 34-95953
File Number:
3-21189
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Release No.
34-95949, AAER-4347
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Release No.
34-95951
File Number:
3-21187
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Release No.
33-11111, 34-95947, AAER-4345
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Release No.
34-95952, AAER-4348
File Number:
3-21188
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Release No.
33-11112, 34-95950
File Number:
3-21185
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Release No.
34-95960
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Release No.
34-95956
File Number:
3-21190
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Release No.
34-95962
File Number:
3-21195
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Release No.
34-95957
File Number:
3-21191
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Release No.
33-11115, 34-95963
File Number:
3-21196
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Release No.
34-95958, AAER-4349
See Also:
Administrative Summary
File Number:
3-21192
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Release No.
34-95959, AAER-4350
See Also:
Administrative Summary
File Number:
3-21193
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Release No.
34-95941
File Number:
3-16729
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Release No.
34-95942
File Number:
3-20540
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Release No.
34-95943, AAER-4343
See Also:
Administrative Summary
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Release No.
IA-6155
File Number:
3-21179
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Release No.
33-11110, 34-95944, AAER-4344
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Release No.
34-95938, AAER-4342
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Release No.
34-95940
File Number:
3-21038
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Release No.
IA-6154
File Number:
3-21175
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Release No.
34-95913
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Release No.
34-95932
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Release No.
34-95927
See Also:
Waiver Order
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Release No.
34-95923
See Also:
Waiver Order
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Release No.
34-95919
See Also:
Waiver Order
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Release No.
34-95914
File Number:
3-21159
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Release No.
34-95928, IA-6153
See Also:
Waiver Order
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Release No.
34-95924
See Also:
Waiver Order
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Release No.
34-95920
See Also:
Waiver Order
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Release No.
34-95915
File Number:
3-21160
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Release No.
34-95929
See Also:
Waiver Order
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Release No.
34-95925
See Also:
Waiver Order
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Release No.
34-95921
See Also:
Waiver Order
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Release No.
34-95916
File Number:
3-21161
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Release No.
IA-6152
File Number:
3-21163
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Release No.
34-95926
See Also:
Waiver Order
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Release No.
34-95922
See Also:
Waiver Order
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Release No.
34-95918
File Number:
3-21162
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Release No.
34-95935
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Release No.
34-95911
File Number:
3-21156
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Release No.
34-95912
File Number:
3-21157
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Release No.
IA-6150
File Number:
3-21154
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Release No.
IA-6151
File Number:
3-21155
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Release No.
34-95887, AAER-4339
See Also:
Administrative Summary
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Release No.
34-95906, IA-6149
File Number:
3-21152
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Release No.
IA-6146
File Number:
3-21144
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Release No.
34-95890
File Number:
3-21146
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Release No.
IA-6148
File Number:
3-21153
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Release No.
34-95894
File Number:
3-21150
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Release No.
34-95893
File Number:
3-21149
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Release No.
33-11108, 34-95898, IA-6147, IC-34717
File Number:
3-21151
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Release No.
34-95891
File Number:
3-21147
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Release No.
33-11107, 34-95889, AAER-4340
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Release No.
IA-6145
File Number:
3-21143
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Release No.
34-95892
File Number:
3-21148
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Release No.
34-95858
File Number:
3-21126
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Release No.
34-95861
File Number:
3-21124
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Release No.
33-11105
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Release No.
34-95872
File Number:
3-21132
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Release No.
34-95863
File Number:
3-21128
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Release No.
33-11106
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Release No.
34-95873
File Number:
3-19817
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Release No.
34-95879
File Number:
3-21136
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Release No.
34-95864
File Number:
3-21129
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Release No.
34-95884, AAER-4338
See Also:
Administrative Summary
File Number:
3-21139
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Release No.
IA-6144
File Number:
3-21125
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Release No.
34-95880
File Number:
3-21137
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Release No.
34-95866
File Number:
3-21130
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Release No.
34-95875
See Also:
Administrative Summary
File Number:
3-21133
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Release No.
34-95882
File Number:
3-21138
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