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.
Administrative Proceedings Table
Respondents
|
|
---|---|
Date: |
Respondents:
Release No.
33-11204
File Number:
3-20801
|
Date: |
Respondents:
Release No.
34-97685, AAER-4418
See Also:
Administrative Summary
File Number:
3-21486
|
Date: |
Respondents:
Release No.
34-97676
File Number:
3-21376
|
Date: |
Respondents:
Release No.
33-11203, 34-97677
File Number:
3-21485
|
Date: |
Respondents:
Release No.
34-97670
File Number:
3-21484
|
Date: |
Respondents:
Release No.
34-97668
File Number:
3-20060
|
Date: |
Respondents:
Release No.
34-97660
File Number:
3-21087
|
Date: |
Respondents:
Release No.
34-97655
File Number:
3-21015
|
Date: |
Respondents:
Release No.
33-11202, 34-97651, AAER-4417
See Also:
Administrative Summary
File Number:
3-21483
|
Date: |
Respondents:
Release No.
33-11201, 34-97650, AAER-4416
File Number:
3-21482
|
Date: |
Respondents:
Release No.
33-11200, 34-97649, AAER-4415
File Number:
3-21481
|
Date: |
Respondents:
Release No.
34-97646
File Number:
3-20881, 3-20882
|
Date: |
Respondents:
Release No.
34-97638
File Number:
3-21478
|
Date: |
Respondents:
Release No.
34-97637
File Number:
3-21477
|
Date: |
Respondents:
Release No.
IA-6320, AAER-4412
File Number:
3-21476
|
Date: |
Respondents:
Release No.
IA-6319
File Number:
3-21475
|
Date: |
Respondents:
Release No.
34-97636
File Number:
3-19991
|
Date: |
Respondents:
Release No.
34-97632
File Number:
3-21181
|
Date: |
Respondents:
Release No.
34-97631
See Also:
Administrative Summary
File Number:
3-21474
|
Date: |
Respondents:
Release No.
34-97625
See Also:
Proposed Plan of Distribution
Submit Comments on:
Notice of Proposed Plan of Distribution and Opportunity for Comment
File Number:
3-19831
|
Date: |
Respondents:
Release No.
34-97622, IA-6318
See Also:
Administrative Summary
File Number:
3-21473
|
Date: |
Respondents:
Release No.
34-97616
File Number:
3-21375
|
Date: |
Respondents:
Release No.
34-97611
File Number:
3-21472
|
Date: |
Respondents:
Release No.
34-97610
File Number:
3-21471
|
Date: |
Respondents:
Release No.
34-97609, AAER-4411
See Also:
Administrative Summary
File Number:
3-21470
|
Date: |
Respondents:
Release No.
34-97608
File Number:
3-21469
|
Date: |
Respondents:
Release No.
34-97607
File Number:
3-21468
|
Date: |
Respondents:
Release No.
34-97594
File Number:
3-21467
|
Date: |
Respondents:
Release No.
34-97593
File Number:
3-21466
|
Date: |
Respondents:
Release No.
34-97592
File Number:
3-21465
|
Date: |
Respondents:
Release No.
34-97589
File Number:
3-21464
|
Date: |
Respondents:
Release No.
34-97588
File Number:
3-21463
|
Date: |
Respondents:
Release No.
34-97583
File Number:
3-21462
|
Date: |
Respondents:
Release No.
34-97582
File Number:
3-21461
|
Date: |
Respondents:
Release No.
34-97576
File Number:
3-21460
|
Date: |
Respondents:
Release No.
34-97575
File Number:
3-21459
|
Date: |
Respondents:
Release No.
34-97571
File Number:
3-21458
|
Date: |
Respondents:
Release No.
34-97570
File Number:
3-21457
|
Date: |
Respondents:
Release No.
34-97569
File Number:
3-21456
|
Date: |
Respondents:
Release No.
34-97568
File Number:
3-21455
|
Date: |
Respondents:
Release No.
34-97567
File Number:
3-21454
|
Date: |
Respondents:
Release No.
34-97566
File Number:
3-21453
|
Date: |
Respondents:
Release No.
34-97564
File Number:
3-21450
|
Date: |
Respondents:
Release No.
34-97563
File Number:
3-21449
|
Date: |
Respondents:
Release No.
34-97562
File Number:
3-21448
|
Date: |
Respondents:
Release No.
34-97561
File Number:
3-21447
|
Date: |
Respondents:
Release No.
34-97560
File Number:
3-21446
|
Date: |
Respondents:
Release No.
34-97565
File Number:
3-21452
|
Date: |
Respondents:
Release No.
IA-6315
See Also:
Administrative Summary
File Number:
3-21445
|
Date: |
Respondents:
Release No.
34-97554
File Number:
3-21444
|
Date: |
Respondents:
Release No.
34-97553
File Number:
3-21443
|
Date: |
Respondents:
Release No.
34-97552
File Number:
3-21442
|
Date: |
Respondents:
Release No.
34-97551
File Number:
3-21441
|
Date: |
Respondents:
Release No.
34-97550
File Number:
3-21440
|
Date: |
Respondents:
Release No.
34-97549
File Number:
3-21439
|
Date: |
Respondents:
Release No.
33-11196, 34-97548
See Also:
Administrative Summary
File Number:
3-21438
|
Date: |
Respondents:
Release No.
33-11195, 34-97543
File Number:
3-21437
|
Date: |
Respondents:
Release No.
34-97540
See Also:
Proposed Distribution Plan
Comments Due:
30 days from date of this Notice
Submit Comments on:
Submit Comments on 3-20855
File Number:
3-20855
|
Date: |
Respondents:
Release No.
IA-6314
File Number:
3-21436
|
Date: |
Respondents:
Release No.
IA-6312
File Number:
3-21435
|
Date: |
Respondents:
Release No.
34-97523, IA-6311
File Number:
3-21434
|
Date: |
Respondents:
Release No.
IA-6310
See Also:
Administrative Summary
File Number:
3-21433
|
Date: |
Respondents:
Release No.
34-97522
File Number:
3-20089
|
Date: |
Respondents:
Release No.
34-97517
File Number:
3-20963
|
Date: |
Respondents:
Release No.
34-97508
File Number:
3-21432
|
Date: |
Respondents:
Release No.
34-97507
File Number:
3-21431
|
Date: |
Respondents:
Release No.
33-11193
File Number:
3-21430
|
Date: |
Respondents:
Release No.
33-11192
File Number:
3-21429
|
Date: |
Respondents:
Release No.
33-11191
File Number:
3-21428
|
Date: |
Respondents:
Release No.
33-11190
File Number:
3-21427
|
Date: |
Respondents:
Release No.
33-11189
File Number:
3-21426
|
Date: |
Respondents:
Release No.
33-11188
File Number:
3-21425
|
Date: |
Respondents:
Release No.
33-11187
File Number:
3-21424
|
Date: |
Respondents:
Release No.
33-11186
File Number:
3-21423
|
Date: |
Respondents:
Release No.
33-11185
File Number:
3-21422
|
Date: |
Respondents:
Release No.
33-11184
File Number:
3-21421
|
Date: |
Respondents:
Release No.
IA-6307
File Number:
3-21419
|
Date: |
Respondents:
Release No.
34-97503
File Number:
3-21420
|
Date: |
Respondents:
Release No.
34-97499
See Also:
Administrative Summary
File Number:
3-21418
|
Date: |
Respondents:
Release No.
34-97498 (Corrected)
File Number:
3-21417
|
Date: |
Respondents:
Release No.
34-97497 (Corrected)
File Number:
3-21416
|
Date: |
Respondents:
Release No.
34-97496
File Number:
3-16175
|
Date: |
Respondents:
Release No.
33-11183, 34-97495
File Number:
3-21415
|
Date: |
Respondents:
Release No.
34-97492
File Number:
3-21414
|
Date: |
Respondents:
Release No.
34-97491
File Number:
3-21413
|
Date: |
Respondents:
Release No.
34-97488
File Number:
3-21412
|
Date: |
Respondents:
Release No.
34-97479, AAER-4406
File Number:
3-21411
|
Date: |
Respondents:
Release No.
34-97477
|
Date: |
Respondents:
Release No.
34-97476
|
Date: |
Respondents:
Release No.
34-97475
File Number:
3-21388
|
Date: |
Respondents:
Release No.
34-97470
See Also:
Distribution Plan
File Number:
3-17956
|
Date: |
Respondents:
Release No.
34-97469
File Number:
3-21140, 3-21141
|
Date: |
Respondents:
Release No.
34-97468
See Also:
Proposed Plan of Distribution
Comments Due:
30 days from date of this Notice
Submit Comments on:
EZTD Inc. - Notice of Proposed Plan of Distribution and Opportunity to Comment
File Number:
3-17673
|
Date: |
Respondents:
Release No.
34-97467
File Number:
3-19499, 3-19500
|
Date: |
Respondents:
Release No.
34-97463
File Number:
3-21221
|
Date: |
Respondents:
Release No.
IA-6305
File Number:
3-21407
|
Date: |
Respondents:
Release No.
34-97448, IA-6302
File Number:
3-21405
|
Date: |
Respondents:
Release No.
IA-6303, IC-34908
File Number:
3-21406
|
Date: |
Respondents:
Release No.
34-97433, IA-6301
File Number:
3-21404
|
Date: |
Respondents:
Release No.
34-97427, IA-6300
File Number:
3-21403
|
30 days from date of this Notice