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-6574
File Number: 3-21895
Date: Respondents:
Release No. IA-6573
File Number: 3-21894
Date: Respondents:
Release No. 34-99720
Comments Due:

30 days from date of this Notice

File Number: 3-20906
Date: Respondents:
Release No. 34-99711
File Number: 3-20211
Date: Respondents:
Release No. 34-99693
File Number: 3-21893
Date: Respondents:
Release No. 34-99688
File Number: 3-20393
Date: Respondents:
Release No. IA-6568
File Number: 3-21892
Date: Respondents:
Release No. 34-99676
File Number: 3-21891
Date: Respondents:
Release No. 34-99675
File Number: 3-21890
Date: Respondents:
Release No. 34-99674
File Number: 3-21889
Date: Respondents:
Release No. 34-99673
File Number: 3-21888
Date: Respondents:
Release No. 34-99672
File Number: 3-21887
Date: Respondents:
Release No. 34-99666
File Number: 3-21886
Date: Respondents:
Release No. 34-99661
File Number: 3-21885
Date: Respondents:
Release No. 34-99660
File Number: 3-21884
Date: Respondents:
Release No. 34-99659, IA-6565
File Number: 3-21883
Date: Respondents:
Release No. 34-99656
File Number: 3-21882
Date: Respondents:
Release No. 34-99651
File Number: 3-21881
Date: Respondents:
Release No. 34-99648
File Number: 3-21877
Date: Respondents:
Release No. 34-99649
File Number: 3-21878
Date: Respondents:
Release No. 34-99650
File Number: 3-21879
Date: Respondents:
Release No. 34-99638, AAER-4491
File Number: 3-21876
Date: Respondents:
Release No. 33-11274, 34-99637, AAER-4490
File Number: 3-21875
Date: Respondents:
Release No. 34-99631
File Number: 3-21873
Date: Respondents:
Release No. 34-99632
File Number: 3-21874
Date: Respondents:
Release No. 34-99629
File Number: 3-21871
Date: Respondents:
Release No. 34-99630
File Number: 3-21872
Date: Respondents:
Release No. 34-99628
File Number: 3-21870
Date: Respondents:
Release No. 34-99627
File Number: 3-21869
Date: Respondents:
Release No. 34-99626
File Number: 3-21868
Date: Respondents:
Release No. 34-99618
File Number: 3-21766
Date: Respondents:
Release No. 34-99617
File Number: 3-21610, 3-21612, 3-21613, 3-21614, 3-21615, 3-21616
Date: Respondents:
Release No. 34-99616
File Number: 3-21867
Date: Respondents:
Release No. 34-99615
File Number: 3-21866
Date: Respondents:
Release No. 34-99612
File Number: 3-21865
Date: Respondents:
Release No. 34-99611
File Number: 3-21864
Date: Respondents:
Release No. 34-99608
File Number: 3-21863
Date: Respondents:
Release No. 34-99607
File Number: 3-21862
Date: Respondents:
Release No. 34-99605
File Number: 3-21861
Date: Respondents:
Release No. 34-99590
File Number: 3-21295
Date: Respondents:
Release No. 34-99589
File Number: 3-21816
Date: Respondents:
Release No. 34-99587
File Number: 3-18408
Date: Respondents:
Release No. 34-99586
File Number: 3-11987
Date: Respondents:
Release No. 34-99579
File Number: 3-20401
Date: Respondents:
Release No. 34-99578
File Number: 3-21860
Date: Respondents:
Release No. 33-11271
File Number: 3-21858
Date: Respondents:
Release No. 34-99560, IA-6561
File Number: 3-21859
Date: Respondents:
Release No. 34-99549, IA-6559
File Number: 3-21856
Date: Respondents:
Release No. IC-35132, IA-6560
File Number: 3-21857
Date: Respondents:
Release No. IA-6558
File Number: 3-21855
Date: Respondents:
Release No. 34-99541
File Number: 3-17899, 3-17900
Date: Respondents:
Release No. 34-99517
File Number: 3-20455
Date: Respondents:
Release No. 34-99516
File Number: 3-19899, 3-19900, 3-19901, 3-19902
Date: Respondents:
Release No. 34-99505
File Number: 3-21854
Date: Respondents:
Release No. 34-99504, IA-6552
File Number: 3-21853
Date: Respondents:
Release No. 34-99503
File Number: 3-21852
Date: Respondents:
Release No. 34-99502, IA-6551
File Number: 3-21851
Date: Respondents:
Release No. 34-99501, IA-6550
File Number: 3-21850
Date: Respondents:
Release No. 34-99500, IA-6549
File Number: 3-21849
Date: Respondents:
Release No. 34-99499, IA-6548
File Number: 3-21848
Date: Respondents:
Release No. 34-99498, IA-6547
File Number: 3-21847
Date: Respondents:
Release No. 34-99496
File Number: 3-21846
Date: Respondents:
Release No. 34-99494
File Number: 3-20855
Date: Respondents:
Release No. 34-99492, AAER-4488
File Number: 3-18344
Date: Respondents:
Release No. 33-11269
File Number: 3-21845
Date: Respondents:
Release No. 34-99483, AAER-4487
File Number: 3-21844
Date: Respondents:
Release No. 34-99478, IA-6543
File Number: 3-21843
Date: Respondents:
Release No. 34-99469
File Number: 3-16729, 3-18110
Date: Respondents:
Release No. 34-99468
File Number: 3-19899, 3-19900, 3-19901, 3-19902
Date: Respondents:
Release No. 34-99467
File Number: 3-21140, 3-21141
Date: Respondents:
Release No. 34-99466
File Number: 3-21602
Date: Respondents:
Release No. 34-99465
Comments Due:

Thirty (30) days from the date of this Notice

File Number: 3-20963
Date: Respondents:
Release No. 34-99464
File Number: 3-20162
Date: Respondents:
Release No. IA-6541
File Number: 3-20235
Date: Respondents:
Release No. IA-6540, IC-35123
File Number: 3-21842
Date: Respondents:
Release No. IA-6539
File Number: 3-21202
Date: Respondents:
Release No. 34-99455
File Number: 3-21691
Date: Respondents:
Release No. 34-99454
File Number: 3-20792
Date: Respondents:
Release No. 34-99441
File Number: 3-21103
Date: Respondents:
Release No. 34-99437, IA-6537
File Number: 3-21840
Date: Respondents:
Release No. 34-99436
File Number: 3-21839
Date: Respondents:
Release No. 33-11266
File Number: 3-21838
Date: Respondents:
Release No. IA-6536
File Number: 3-21837
Date: Respondents:
Release No. IA-6535
File Number: 3-21836
Date: Respondents:
Release No. IA-6533
File Number: 3-21835
Date: Respondents:
Release No. 34-99412, IA-6532
File Number: 3-21834
Date: Respondents:
Release No. 34-99410
File Number: 3-21833
Date: Respondents:
Release No. 34-99389
File Number: 3-20954, 3-20955
Date: Respondents:
Release No. 34-99388
File Number: 3-21832
Date: Respondents:
Release No. 33-11267, 34-99384, AAER-4483
File Number: 3-21831
Date: Respondents:
Release No. 34-99348, AAER-4482
File Number: 3-20600
Date: Respondents:
Release No. IA-6531
File Number: 3-21830
Date: Respondents:
Release No. 34-99344, IA-6530
File Number: 3-21829
Date: Respondents:
Release No. 34-99341
File Number: 3-21828
Date: Respondents:
Release No. 34-99337
File Number: 3-21826
Date: Respondents:
Release No. 34-99336
File Number: 3-21825
Date: Respondents:
Release No. 34-99308, AAER-4481
File Number: 3-21824
Date: Respondents:
Release No. 34-99284
File Number: 3-19899, 3-19900, 3-19901, 3-19902
Date: Respondents:
Release No. 34-99278
File Number: 3-21585
Date: Respondents:
Release No. IA-6520
File Number: 3-21823