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. The links below additionally direct you to the electronic filing system for administrative proceedings and to information for respondents in administrative proceedings.
- Litigated AP Case Materials (Open)
- Litigated AP Case Materials (Closed)
- Electronic Filings in Administrative Proceedings (eFAP)
- Information for Respondents in Administrative Proceedings
- Subpoena Form to Produce Documents - Proceeding Before the Commission
- Subpoena Form to Appear and Testify at a Deposition - Proceeding Before the Commission
Date Sort ascending | Respondents |
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Release No.
34-40859
File Number:
3-9797
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Release No.
34-40855
File Number:
3-9669
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Release No.
34-40860
File Number:
3-9798
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Release No.
33-1779
File Number:
3-9796
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Release No.
33-7619
File Number:
3-9716
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Release No.
34-40827
File Number:
3-9794
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Release No.
34-40831
File Number:
3-9795
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Release No.
34-40819
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Release No.
34-40818
File Number:
3-9792
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Release No.
34-40787
File Number:
3-9789
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Release No.
34-40788
File Number:
3-9790
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Release No.
33-7617, 34-40772, IC-23595
File Number:
3-9788
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Release No.
34-40769
File Number:
3-9787
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Release No.
33-7616, 34-40770
File Number:
3-9724
|
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Release No.
33-7614, 34-40764, IA-1776
File Number:
3-9784
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Release No.
33-7615, 34-40766
File Number:
3-9786
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Release No.
34-40765
File Number:
3-9785
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Release No.
4-40724
File Number:
3-8917
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Release No.
34-40725
File Number:
3-9783
|
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Release No.
40-1775
File Number:
3-9782
|
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Release No.
613
|
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Release No.
33-7612, 34-40699
File Number:
3-9781
|
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Release No.
34-40697
File Number:
3-9518
|
|
Release No.
34-40691
File Number:
3-9780
|
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Release No.
34-40682
File Number:
3-9779
|
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Release No.
34-40677
File Number:
3-9613
|
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Release No.
34-40661
File Number:
3-8947
|
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Release No.
34-40664
File Number:
3-9777
|
|
Release No.
33-7610
File Number:
3-9770
|
|
Release No.
34-40650
File Number:
3-9774
|
|
Release No.
3440640
File Number:
3-8798
|
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Release No.
IA-1773
File Number:
3-9105
|
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Release No.
33-7595
File Number:
3-9762
|
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Release No.
33-7596
File Number:
3-9763
|
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Release No.
33-7594, IA-1772
File Number:
3-9761
|
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Release No.
33-7602
File Number:
3-9769
|
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Release No.
33-7598
File Number:
3-9765
|
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Release No.
33-7603
File Number:
3-9770
|
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Release No.
33-7600
File Number:
3-9766
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Release No.
33-7604
File Number:
3-9771
|
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Release No.
33-7599
File Number:
3-9767
|
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Release No.
33-7605
File Number:
3-9772
|
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Release No.
33-7601
File Number:
3-9768
|
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Release No.
33-7597
File Number:
3-9764
|
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Release No.
34-40601
|
|
Release No.
34-40573
File Number:
3-9758
|
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Release No.
34-40574
File Number:
3-9759
|
|
Release No.
33-7592, 34-40544, IA-1770
File Number:
3-9572
|
|
Release No.
34-40531
File Number:
3-9757
|
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Release No.
34-40506
File Number:
3-9361
|
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Release No.
34-40501
File Number:
3-9745
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Release No.
34-40504
File Number:
3-9748
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Release No.
IA-1766
File Number:
3-9457
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Release No.
34-40508
File Number:
3-9752
|
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Release No.
IA-1767
File Number:
3-9751
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Release No.
34-40502
File Number:
3-9746
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Release No.
33-7591, 34-40507
File Number:
3-9750
|
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Release No.
34-40509
File Number:
3-9753
|
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Release No.
34-40503
File Number:
3-9747
|
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Release No.
IA-1768
|
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Release No.
34-40510
File Number:
3-9754
|
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Release No.
IA-1763
File Number:
801-37761
|
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Release No.
IA-1764
File Number:
3-9743
|
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Release No.
IA-1765
File Number:
3-9744
|
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Release No.
33-7589
File Number:
3-9738
|
|
Release No.
34-40494
File Number:
3-9737
|
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Release No.
33-7590
File Number:
3-9739
|
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Release No.
34-40495
File Number:
3-9740
|
|
Release No.
34-40488
File Number:
3-9735
|
|
Release No.
IC-23470
File Number:
3-9732
|
|
Release No.
34-40489
File Number:
3-9736
|
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Release No.
IA-1761, IC-23471
File Number:
3-9734
|
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Release No.
34-40490
File Number:
3-9635
|
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Release No.
33-7587, IC-23468
File Number:
3-9730
|
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Release No.
33-7588, IC-23469
File Number:
3-9731
|
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Release No.
IA-1757
File Number:
3-9725
|
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Release No.
34-40480
File Number:
3-9726
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Release No.
34-40483, IA-1759
File Number:
3-9728
|
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Release No.
IA-1758
File Number:
3-9727
|
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Release No.
34-40484, IA-1760
File Number:
3-9729
|
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Release No.
33-7585, 34-40478
File Number:
3-9724
|
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Release No.
34-40468
File Number:
3-9718
|
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Release No.
34-40470
File Number:
3-9720
|
|
Release No.
34-40471
File Number:
3-9721
|
|
Release No.
34-40476
File Number:
3-9722
|
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Release No.
34-40477
File Number:
3-9723
|
|
Release No.
33-7586, 34-40469
File Number:
3-9719
|
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Release No.
34-40461
|
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Release No.
34-40459
File Number:
3-9712
|
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Release No.
34-40460
|
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Release No.
33-7584, 34-40466, IA-1755, IC-23463
File Number:
3-9716
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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.
33-7582, 34-40464
File Number:
3-9456
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Release No.
33-7583, 34-40465, IA-1754
File Number:
3-9715
|
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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.
34-40452
File Number:
3-9709
|
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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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