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.
34-40467, IA-1756
File Number:
3-9717
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Release No.
34-40462
File Number:
3-9714
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Release No.
34-40452
File Number:
3-9709
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Release No.
33-7581, 34-40453
File Number:
3-9711
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Release No.
IA-1753
File Number:
3-9710
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Release No.
34-40450
File Number:
3-9708
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Release No.
34-40446
File Number:
3-9707
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Release No.
33-7580
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Release No.
33-7579, 34-40435, IA-1751, IC-23434
File Number:
3-9704
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Release No.
IA-1750
File Number:
3-9703
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Release No.
33-7577, 34-40423
File Number:
3-9699
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Release No.
33-7578, 34-40429
File Number:
3-9702
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Release No.
34-40425
File Number:
3-9701
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Release No.
33-7573, 34-40414
File Number:
3-9695
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Release No.
33-7572, 34-40413
File Number:
3-9694
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Release No.
33-7574, 34-40415
File Number:
3-9696
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Release No.
33-7575, 34-40416
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Release No.
33-7576, 34-40417
File Number:
3-9698
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Release No.
33-7570, 34-40394
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Release No.
33-7571, 34-40396
File Number:
3-9693
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Release No.
33-7569, 34-40388
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Release No.
34-40389
File Number:
3-9691
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Release No.
34-40375
File Number:
3-9687
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Release No.
34-40376
File Number:
3-9688
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Release No.
34-40366
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Release No.
34-40362
File Number:
3-9685
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Release No.
33-7566, 34-40352
File Number:
3-9683
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Release No.
34-40346
File Number:
3-9680
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Release No.
34-40347
File Number:
3-9681
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Release No.
34-40336
File Number:
3-9678
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Release No.
IA-1747
File Number:
3-9679
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Release No.
33-7564, 34-40332
File Number:
3-9491
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Release No.
33-7565, 34-40333
File Number:
3-9491
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Release No.
34-40329, IA-1746, IC-23392
File Number:
3-9589
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Release No.
IA-1743
File Number:
3-9675
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Release No.
IA-1744
File Number:
3-9676
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Release No.
IA-1745
File Number:
3-9677
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Release No.
34-40322, IA-1742
File Number:
3-9674
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Release No.
IA-1741
File Number:
3-9673
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Release No.
4-40313
File Number:
3-9670
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Release No.
4-40309
File Number:
4-40309
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Release No.
33-7561, 34-40307
File Number:
3-9668
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Release No.
34-40305
File Number:
3-9666
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Release No.
34-40290
File Number:
3-9663
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Release No.
34-40291
File Number:
3-9568
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Release No.
33-7560, 34-40292, IA-1739, IC-23368
File Number:
3-9664
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Release No.
34-40279
File Number:
3-9659
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Release No.
34-40280
File Number:
3-9660
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Release No.
34-40281
File Number:
3-9661
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Release No.
33-7559, 34-40282
File Number:
3-9662
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Release No.
33-7557, 34-40267, IA-1737, IC-23333
File Number:
3-9657
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Release No.
34-40269
File Number:
3-9658
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Release No.
34-40265
File Number:
3-9656
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Release No.
34-40259
File Number:
3-9655
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Release No.
34-40256
File Number:
3-9654
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Release No.
34-40234, IA-1734
File Number:
3-9652
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Release No.
33-7554, 34-40194
File Number:
3-9650
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Release No.
34-40183
File Number:
3-9647
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Release No.
33-7553, 34-40184
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Release No.
34-40181
File Number:
3-9646
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Release No.
34-40174
File Number:
3-9645
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Release No.
33-7552, 34-40175, IA-1729, IC-23304
File Number:
3-9461
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Release No.
34-40173
File Number:
3-9644
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Release No.
34-40168
File Number:
3-9640
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Release No.
34-40171
File Number:
3-9643
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Release No.
34-40169
File Number:
3-9641
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Release No.
34-40170
File Number:
3-9642
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Release No.
34-40142
File Number:
3-9638
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Release No.
33-7551,34-40134
File Number:
3-9636
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Release No.
34-40127
File Number:
3-9632
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Release No.
34-40128
File Number:
3-9633
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Release No.
34-40130
File Number:
3-9634
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Release No.
34-40131
File Number:
3-9635
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Release No.
34-40125
File Number:
3-9631
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Release No.
33-7547, 34-40115
File Number:
3-9629
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Release No.
34-40116
File Number:
3-9630
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Release No.
34-40106
File Number:
3-9628
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Release No.
34-40101
File Number:
3-9444
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Release No.
34-40100
File Number:
3-9444
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Release No.
34-40098
File Number:
3-9627
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Release No.
34-40093
File Number:
3-9626
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Release No.
34-40084, IA-1725
File Number:
3-9625
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Release No.
34-40078
File Number:
3-9622
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Release No.
34-40076
File Number:
3-9621
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Release No.
34-40067
File Number:
3-9619
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Release No.
34-40068
File Number:
3-9620
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Release No.
34-40060
File Number:
3-9617
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Release No.
34-40061
File Number:
3-9618
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Release No.
34-40049, IC-23229
|
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Release No.
33-7543, 34-40027
File Number:
3-9391
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Release No.
33-7542, 34-40023
File Number:
3-9544
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Release No.
34-40011
File Number:
3-8206
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Release No.
33-7540, 34-40012
File Number:
3-9523
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Release No.
34-40002
File Number:
3-9607
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Release No.
34-39993
File Number:
3-9605
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Release No.
34-39994
File Number:
3-8330
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Release No.
34-39984
File Number:
3-9603
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Release No.
33-7538, 34-39971
|
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Release No.
34-39968
|
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Release No.
34-39961
File Number:
3-9600
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