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.
IA-6299
File Number:
3-21401
|
Date: |
Respondents:
Release No.
IA-6296
File Number:
3-21400
|
Date: |
Respondents:
Release No.
34-97407
File Number:
3-21399
|
Date: |
Respondents:
Release No.
33-11179
See Also:
Administrative Summary
File Number:
3-21398
|
Date: |
Respondents:
Release No.
34-97389
File Number:
3-19499, 3-19500
|
Date: |
Respondents:
Release No.
34-97388
File Number:
3-16776
|
Date: |
Respondents:
Release No.
34-97381, AAER-4403
See Also:
Administrative Summary
File Number:
3-21397
|
Date: |
Respondents:
Release No.
34-97370
File Number:
3-21395
|
Date: |
Respondents:
Release No.
34-97369
File Number:
3-21394
|
Date: |
Respondents:
Release No.
IA-6291
File Number:
3-21393
|
Date: |
Respondents:
Release No.
34-97352
File Number:
3-21392
|
Date: |
Respondents:
Release No.
34-97351
File Number:
3-21391
|
Date: |
Respondents:
Release No.
34-97350
File Number:
3-21389
|
Date: |
Respondents:
Release No.
34-97349
File Number:
3-21388
|
Date: |
Respondents:
Release No.
34-97345
See Also:
Proposed Distribution Plan
Submit Comments on:
Bayerische Motoren Werke Aktiengesellschaft, BMW of North America, LLC and BMW US Capital, LLC - Notice of Proposed Plan of Distribution and Opportunity to Comment
File Number:
3-20060
|
Date: |
Respondents:
Release No.
34-97344
File Number:
3-21387
|
Date: |
Respondents:
Release No.
34-97343
File Number:
3-21386
|
Date: |
Respondents:
Release No.
34-97340
File Number:
3-21379
|
Date: |
Respondents:
Release No.
34-97339
File Number:
3-21378
|
Date: |
Respondents:
Release No.
34-97338
File Number:
3-21385
|
Date: |
Respondents:
Release No.
34-97337
File Number:
3-21384
|
Date: |
Respondents:
Release No.
34-97335
File Number:
3-21383
|
Date: |
Respondents:
Release No.
34-97334
File Number:
3-21382
|
Date: |
Respondents:
Release No.
34-97333
File Number:
3-21381
|
Date: |
Respondents:
Release No.
34-97332
File Number:
3-21380
|
Date: |
Respondents:
Release No.
34-97331
File Number:
3-21377
|
Date: |
Respondents:
Release No.
34-97330
File Number:
3-21376
|
Date: |
Respondents:
Release No.
34-97329
File Number:
3-21375
|
Date: |
Respondents:
Release No.
34-97328
File Number:
3-21374
|
Date: |
Respondents:
Release No.
IA-6288
File Number:
3-21373
|
Date: |
Respondents:
Release No.
34-97317, AAER-4401
File Number:
3-21372
|
Date: |
Respondents:
Release No.
IA-6286
File Number:
3-21371
|
Date: |
Respondents:
Release No.
34-97312, IA-6285
File Number:
3-21370
|
Date: |
Respondents:
Release No.
IA-6284
See Also:
Administrative Summary
File Number:
3-21369
|
Date: |
Respondents:
Release No.
34-97299
File Number:
3-21368
|
Date: |
Respondents:
Release No.
34-97298
File Number:
3-21367
|
Date: |
Respondents:
Release No.
IA-6283
File Number:
3-21366
|
Date: |
Respondents:
Release No.
IA-6282
File Number:
3-21120
|
Date: |
Respondents:
Release No.
34-97292, AAER-4400
File Number:
3-21365
|
Date: |
Respondents:
Release No.
IA-6279
File Number:
3-21364
|
Date: |
Respondents:
Release No.
34-97270, AAER-4398
File Number:
21363
|
Date: |
Respondents:
Release No.
34-97269, AAER-4397
File Number:
3-21362
|
Date: |
Respondents:
Release No.
34-97259, AAER-4396
File Number:
3-21361
|
Date: |
Respondents:
Release No.
34-97258
File Number:
3-18561, 3-18562, 3-18563
|
Date: |
Respondents:
Release No.
34-97245
File Number:
3-21360
|
Date: |
Respondents:
Release No.
34-97244, IA-6273
File Number:
3-21359
|
Date: |
Respondents:
Release No.
34-97243
File Number:
3-21357
|
Date: |
Respondents:
Release No.
IA-6272
File Number:
3-21358
|
Date: |
Respondents:
Release No.
34-97242, IA-6271
File Number:
3-21356
|
Date: |
Respondents:
Release No.
IA-6270, IC-34875
File Number:
3-21355
|
Date: |
Respondents:
Release No.
34-97221
File Number:
3-21181
|
Date: |
Respondents:
Release No.
34-97216, AAER-4394
File Number:
3-21353
|
Date: |
Respondents:
Release No.
34-97219
|
Date: |
Respondents:
Release No.
34-97213, IA-6266
File Number:
3-21352
|
Date: |
Respondents:
Release No.
34-97203
File Number:
3-18831
|
Date: |
Respondents:
Release No.
34-97208
File Number:
3-20781
|
Date: |
Respondents:
Release No.
34-97187
|
Date: |
Respondents:
Release No.
33-11170
|
Date: |
Respondents:
Release No.
33-11171
|
Date: |
Respondents:
Release No.
33-11172
|
Date: |
Respondents:
Release No.
33-11173
|
Date: |
Respondents:
Release No.
33-11174
|
Date: |
Respondents:
Release No.
33-11175
|
Date: |
Respondents:
Release No.
34-97175
File Number:
3-20954, 3-20955
|
Date: |
Respondents:
Release No.
34-97166, IA-6265
File Number:
3-21345
|
Date: |
Respondents:
Release No.
34-97172
File Number:
3-14191, 3-14192
|
Date: |
Respondents:
Release No.
34-97155
File Number:
3-21344
|
Date: |
Respondents:
Release No.
34-97152
|
Date: |
Respondents:
Release No.
34-97153
|
Date: |
Respondents:
Release No.
34-97154
File Number:
3-21343
|
Date: |
Respondents:
Release No.
33-11166, 34-97140, AAER-4391
|
Date: |
Respondents:
Release No.
34-97114, IA-6259
See Also:
Administrative Summary
File Number:
3-21340
|
Date: |
Respondents:
Release No.
IA-6260
File Number:
3-21341
|
Date: |
Respondents:
Release No.
34-97122
File Number:
3-15124
|
Date: |
Respondents:
Release No.
34-97128
File Number:
3-21096
|
Date: |
Respondents:
Release No.
34-97084
See Also:
Administrative Summary
File Number:
3-21337
|
Date: |
Respondents:
Release No.
34-97096
File Number:
3-21338
|
Date: |
Respondents:
Release No.
33-11165, 34-97098
|
Date: |
Respondents:
Release No.
34-97083
File Number:
3-17614
|
Date: |
Respondents:
Release No.
34-97064
See Also:
Administrative Summary
File Number:
3-21336
|
Date: |
Respondents:
Release No.
34-97044, AAER-4384
See Also:
Administrative Summary
File Number:
3-21330
|
Date: |
Respondents:
Release No.
IA-6255
File Number:
3-21333
|
Date: |
Respondents:
Release No.
34-97045
|
Date: |
Respondents:
Release No.
34-97049, AAER-4386
|
Date: |
Respondents:
Release No.
34-97050, AAER-4385
|
Date: |
Respondents:
Release No.
34-97030
|
Date: |
Respondents:
Release No.
34-97031
|
Date: |
Respondents:
Release No.
34-97032
|
Date: |
Respondents:
Release No.
34-97033
|
Date: |
Respondents:
Release No.
34-97034, IA-6254
|
Date: |
Respondents:
Release No.
34-97035
|
Date: |
Respondents:
Release No.
34-97036
|
Date: |
Respondents:
Release No.
34-97037
|
Date: |
Respondents:
Release No.
34-97038
File Number:
3-21329
|
Date: |
Respondents:
Release No.
33-11161, 34-97016
|
Date: |
Respondents:
Release No.
33-11162, 34-97017
|
Date: |
Respondents:
Release No.
34-97020, IA-6253
See Also:
Administrative Summary
|
Date: |
Respondents:
Release No.
33-11163
See Also:
Administrative Summary
File Number:
3-21320
|
Date: |
Respondents:
Release No.
34-96997
File Number:
3-20945
|
Date: |
Respondents:
Release No.
34-96998
File Number:
3-20687
|
30 days from date of this Notice