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-6103
See Also:
Administrative Summary
File Number:
3-21026
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Release No.
33-11097
File Number:
3-21032
|
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Release No.
34-95673, IA-6106
|
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Release No.
34-95677
File Number:
3-21033
|
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Release No.
34-95663, AAER-4330
See Also:
Administrative Summary
File Number:
3-21022
|
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|
Release No.
34-95665
File Number:
3-21023
|
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Release No.
IA-6104
File Number:
3-21029
|
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Release No.
34-95666
File Number:
3-21025
|
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|
Release No.
34-95671, IA-6105
File Number:
3-21030
|
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Release No.
34-95667
File Number:
3-21027
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Release No.
34-95668
File Number:
3-21028
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Release No.
34-95653
File Number:
3-20393
|
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Release No.
34-95648
File Number:
3-21020
|
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Release No.
34-95640
File Number:
3-21019
|
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Release No.
34-95649
File Number:
3-21021
|
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Release No.
34-95641
File Number:
3-19494
|
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Release No.
34-95642
File Number:
3-16729
|
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Release No.
34-95643
File Number:
3-12540
|
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Release No.
34-95627
File Number:
3-21016
|
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Release No.
34-95628
File Number:
3-21017
|
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|
Release No.
34-95630, IA-6099
File Number:
3-21018
|
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Release No.
34-95625
File Number:
3-21014
|
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Release No.
34-95626
File Number:
3-21015
|
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Release No.
IA-6098
See Also:
Administrative Summary
File Number:
3-21008
|
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|
Release No.
33-11096, 34-95612, AAER-4329
See Also:
Administrative Summary
File Number:
3-21009
|
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Release No.
34-95619
File Number:
3-21011
|
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Release No.
34-95621
File Number:
3-21012
|
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Release No.
34-95617
File Number:
3-21010
|
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Release No.
34-95609, AAER-4325
|
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Release No.
34-95594
File Number:
3-20999
|
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Release No.
34-95610, AAER-4326
|
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Release No.
34-95600
File Number:
3-21000
|
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Release No.
34-95611, AAER-4327
|
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Release No.
IA-6097
File Number:
3-21007
|
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Release No.
34-95608
File Number:
3-21001
|
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|
Release No.
34-95593, AAER-4324
See Also:
Administrative Summary
File Number:
3-20998
|
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Release No.
34-95589, AAER-4323
See Also:
Administrative Summary
File Number:
3-20997
|
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|
Release No.
IA-6095
File Number:
3-20996
|
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Release No.
34-95562
File Number:
3-20988
|
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Release No.
34-95573
File Number:
3-20994
|
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Release No.
34-95564
File Number:
3-20990
|
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Release No.
34-95574
File Number:
3-20995
|
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Release No.
34-95565
File Number:
3-20991
|
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Release No.
34-95566
File Number:
3-20992
|
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Release No.
34-95568
File Number:
3-20993
|
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Release No.
34-95563
File Number:
3-20989
|
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Release No.
34-95542
File Number:
3-20984
|
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Release No.
34-95538
File Number:
3-20980
|
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Release No.
34-95543
File Number:
3-20985
|
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Release No.
34-95539
File Number:
3-20981
|
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Release No.
34-95553
File Number:
3-20986
|
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Release No.
34-95540
File Number:
3-20982
|
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Release No.
34-95535
File Number:
3-20978
|
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Release No.
34-95554
File Number:
3-20987
|
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Release No.
34-95541
File Number:
3-20983
|
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Release No.
34-95536
File Number:
3-20979
|
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Release No.
34-95516
File Number:
3-20971
|
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Release No.
34-95512
File Number:
3-20967
|
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|
Release No.
34-95517
File Number:
3-20972
|
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Release No.
34-95513
File Number:
3-20968
|
|
|
Release No.
34-95514
File Number:
3-20969
|
|
|
Release No.
34-95511
See Also:
Proposed Distribution Plan
Comments Due:
30 days from date of this Notice
Comments received are available:
https://www.sec.gov/comments/3-17956/3-17956.htm
Submit Comments on:
3-17956
File Number:
3-17956
|
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|
Release No.
34-95515
File Number:
3-20970
|
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|
Release No.
34-95522
File Number:
3-20976
|
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Release No.
34-95523
File Number:
3-20977
|
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Release No.
34-95533
File Number:
3-20717
|
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Release No.
34-95518
File Number:
3-20973
|
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Release No.
34-95519
File Number:
3-20974
|
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Release No.
34-95506
File Number:
3-20880
|
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|
Release No.
34-95507
File Number:
3-20964
|
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|
Release No.
33-11093, 34-95510, IC-34675
See Also:
Administrative Summary
File Number:
3-20966
|
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|
Release No.
34-95508
File Number:
3-20965
|
|
|
Release No.
33-11091, 34-95502, IA-6090, IC-34674
See Also:
Administrative Summary
File Number:
3-20962
|
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|
Release No.
33-11092, 34-95505, AAER-4321
File Number:
3-20963
|
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|
Release No.
34-95487
See Also:
Administrative Summary
File Number:
3-20961
|
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Release No.
34-95468
File Number:
3-20957
|
|
|
Release No.
34-95467
File Number:
3-20956
|
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|
Release No.
34-95469
File Number:
3-20958
|
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Release No.
34-95482
File Number:
3-20960
|
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Release No.
IA-6087
File Number:
3-20959
|
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|
Release No.
33-11090, IA-6084
File Number:
3-20953
|
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|
Release No.
34-95462, IA-6085, IC-34669
See Also:
Administrative Summary
File Number:
3-20954
|
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|
Release No.
IA-6086
See Also:
Administrative Summary
File Number:
3-20955
|
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|
Release No.
34-95453, IA-6082
File Number:
3-20951
|
|
|
Release No.
IA-6081
File Number:
3-20950
|
|
|
Release No.
33-11089
See Also:
Administrative Summary
File Number:
3-20952
|
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|
Release No.
34-95451, AAER-4320
File Number:
3-20949
|
|
|
Release No.
34-95432
See Also:
Distribution Plan
File Number:
3-16000
|
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|
Release No.
34-95418
See Also:
Proposed Distribution Plan
Comments Due:
30 days from date of this Notice
File Number:
3-15635
|
|
|
Release No.
34-95421
File Number:
3-20947
|
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|
Release No.
34-95427
File Number:
3-20060
|
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|
Release No.
34-95429
File Number:
3-20855
|
|
|
Release No.
IA-6079
See Also:
Administrative Summary
File Number:
3-20944
|
|
|
Release No.
33-11088, 34-95415, AAER-4318
See Also:
Complaint
File Number:
3-20945
|
|
|
Release No.
IA-6078
File Number:
3-20941
|
|
|
Release No.
33-11086, 34-95390, IA-6076
File Number:
3-20940
|
|
|
Release No.
33-11085, 34-95389, IA-6075, IC-34655
File Number:
3-20939
|
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|
Release No.
34-95367, IA-6073
File Number:
3-20936
|
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Release No.
34-95368, IA-6074
File Number:
3-20937
|
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|
Release No.
34-95369
File Number:
3-20938
|