Breadcrumb

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.

Date Sort ascending Respondents
Release No. 33-8050
File Number: 3-10585
Release No. 34-45208
File Number: 3-10662
Release No. 34-45197, AAER-1483
Release No. 34-45198
File Number: 3-10666
Release No. 34-45195, AAER-1481
Release No. 34-45196, AAER-1482
Release No. 34-45186, IA-2004
File Number: 3-10660
Release No. 33-8047, 34-45187, IA-2005
File Number: 3-10661
Release No. 33-8046, 34-45175, IA-2003, IC-25322
File Number: 3-10659
Release No. 33-8043, 34-45171
File Number: 3-9187
Release No. 33-8044, 34-45172
File Number: 3-9187
Release No. 34-45168
File Number: 3-10656
Release No. 33-8045, 34-45173
File Number: 3-9187
Release No. 34-45169
File Number: 3-10657
Release No. 33-8042
File Number: 3-10658
Release No. 34-45157
File Number: 3-10653
Release No. IA-2002
File Number: 3-10652
Release No. 34-45158, AAER-1478
File Number: 3-10654
Release No. 34-45159, AAER-1479
File Number: 3-10655
Release No. IA-2001
File Number: 3-10651
Release No. 34-45142
File Number: 3-10649
Release No. 34-45143
File Number: 3-10650
Release No. 34-45140
File Number: 3-10648
Release No. 34-45135, AAER-1476
File Number: 3-10647
Release No. 34-45131
File Number: 3-10390
Release No. 34-45123
File Number: 3-10573
Release No. IA-2000
File Number: 3-10646
Release No. 33-8038
File Number: 3-10252
Release No. 34-45107
File Number: 3-10428
Release No. 34-45091
File Number: 3-10644
Release No. 34-45092
File Number: 3-10645
Release No. 33-8037, 34-45085
File Number: 3-10581
Release No. 34-45084
File Number: 3-10603
Release No. 33-8036
File Number: 3-10643
Release No. 34-45069
File Number: 3-10641
Release No. 34-45070
File Number: 3-10642
Release No. 34-45057
File Number: 3-10639
Release No. 34-45058
File Number: 3-10640
Release No. 33-8034, 34-45064, IA-1996, IC-25268
File Number: 3-10253
Release No. 34-45055
File Number: 3-10637
Release No. 33-8035, 34-45065, IA-1997, IC-25269
File Number: 3-10253
Release No. 34-45056
File Number: 3-10638
Release No. 33-8033, 34-45052
File Number: 3-9440
Release No. 33-8032
File Number: 3-10635
Release No. 34-45042
File Number: 3-10633
Release No. 34-45044
File Number: 3-10634
Release No. IA-1995
File Number: 3-10526
Release No. 33-8029, 34-45017
File Number: 3-10631
Release No. 33-8030, 34-45018
File Number: 3-10632
Release No. 34-45005
File Number: 3-10629
Release No. 34-45006, IA-1992
File Number: 3-10630
Release No. 34-45002
File Number: 3-10628
Release No. 34-44982
File Number: 3-10310
Release No. 34-44970, AAER-1471
File Number: 3-10626
Release No. 34-44966
Release No. IA-1991
File Number: 3-10625
Release No. 34-44959
File Number: 3-10538
Release No. 33-8025, 34-44951, AAER-1469
File Number: 3-10623
Release No. 33-8026, 34-44954
File Number: 3-10624
Release No. 34-44934
File Number: 3-10621
Release No. 34-44925
File Number: 3-10619
Release No. 34-44926
File Number: 3-10620
Release No. 33-8023, 34-44919
File Number: 3-10618
Release No. 34-44912
File Number: 3-10617
Release No. 34-44911
File Number: 3-10616
Release No. 34-44901
File Number: 3-10526
Release No. 34-44902, AAER-1463
File Number: 3-10613
Release No. IA-1988, IC-25203
File Number: 3-10614
Release No. IA-1983
File Number: 3-10605
Release No. 33-8018, 33-44875, IA-1981, IC-25198
File Number: 3-10601
Release No. 33-8017
File Number: 3-10597
Release No. IA-1976
File Number: 3-10593
Release No. IA-1984, IC-25200, 3-10606
File Number: 3-10606
Release No. 33-8019, 34-44876, IA-1982, IC-25199
File Number: 3-10602
Release No. IA-1979
File Number: 3-10598
Release No. 34-44877
File Number: 3-10603
Release No. 34-44873
File Number: 3-10599
Release No. 33-8020, 34-44879
File Number: 3-10098
Release No. IA-1980
File Number: 3-10600
Release No. 34-44869
File Number: 3-10596
Release No. 34-44881
File Number: 3-10609
Release No. 34-44882, IC-25201
Release No. 34-44883, IA-1987
Release No. IA-1985, 3-10607
File Number: 3-10607
Release No. 33-8021
File Number: 3-10612
Release No. 34-44880, IA-1986
File Number: 3-10608
Release No. 34-44860, AAER-1459
File Number: 3-10591
Release No. 33-8013, 34-44864
File Number: 3-10592
Release No. 34-44858, AAER-1456
Release No. 34-44859, AAER-1457
File Number: 3-10590
Release No. IA-1977, IC-25195
File Number: 3-10594
Release No. IA-1978
File Number: 3-10595
Release No. 33-8014
File Number: 3-10592
Release No. 33-8015, 34-44865
File Number: 3-10592
Release No. 33-8011, 34-44851
File Number: 3-9911
Release No. 34-44842, AAER-1454
File Number: 3-10584
Release No. 33-8009
File Number: 3-10585
Release No. 34-44835
File Number: 3-10583
Release No. 33-8006, 34-44833
File Number: 3-10582
Release No. 34-44821
File Number: 3-10581