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.
34-49006
File Number:
3-11367
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Release No.
34-49007
File Number:
3-11368
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Release No.
IA-2207
File Number:
3-11365
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Release No.
34-49005
File Number:
3-11366
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Release No.
34-48974
File Number:
3-11364
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Release No.
34-48968
File Number:
3-11161
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Release No.
34-48961, AAER-1929
File Number:
3-11362
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Release No.
34-48962, AAER-1930
File Number:
3-11363
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Release No.
34-48956
File Number:
3-11361
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Release No.
34-48951, AAER-1927
File Number:
3-11360
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Release No.
IA-2205, IC-26312, IA-2205A
File Number:
3-11359
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Release No.
IA-2203
File Number:
3-11357
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Release No.
34-48916
File Number:
3-11356
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Release No.
34-48907
File Number:
3-11354
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Release No.
IA-2201, IC-26291
File Number:
3-11352
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Release No.
33-8346, IC-26290, 33-8346A
File Number:
3-11351
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Release No.
34-48906, AAER-1921
File Number:
3-11353
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Release No.
34-48905
File Number:
3-11350
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Release No.
33-8342, 34-48899, IA-2198
File Number:
3-9042
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Release No.
34-48900, IA-2199
File Number:
3-11349
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Release No.
34-48901, AAER-1920
File Number:
3-9568
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Release No.
34-48895
File Number:
3-10977
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Release No.
34-48873
File Number:
3-11283
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Release No.
34-48870, IA-2197
File Number:
3-11348
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Release No.
34-48856
File Number:
3-11279
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Release No.
34-48862
File Number:
3-11347
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Release No.
34-48849
File Number:
3-11321
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Release No.
34-48850
File Number:
3-11247
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Release No.
34-48852
File Number:
3-11345
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Release No.
33-8341, 34-48853
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Release No.
34-48824, IA-2195
File Number:
3-11342
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Release No.
34-48826
See Also:
see corrected version
File Number:
3-11343
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Release No.
34-48830, IA-2196
File Number:
3-11344
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Release No.
IA-2194
File Number:
3-11341
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Release No.
IA-2193
File Number:
3-11340
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Release No.
34-48792
File Number:
3-11337
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Release No.
34-48793
File Number:
3-11338
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Release No.
34-48794
File Number:
3-11339
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Release No.
33-8339
File Number:
3-11335
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Release No.
34-48790
File Number:
3-11336
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Release No.
33-8336, 34-48776
File Number:
3-11331
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Release No.
33-8337, 34-48777
File Number:
3-11332
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Release No.
33-8338, AAER-1911
File Number:
3-11333
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Release No.
34-48783, AAER-1913
File Number:
3-11334
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Release No.
IA-2192, IC-26255
File Number:
3-11317
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Release No.
34-48770, AAER-1910
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Release No.
34-48753, IA-2191
File Number:
3-11213
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Release No.
IA-2190
File Number:
3-11276
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Release No.
34-48748
File Number:
3-11328
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Release No.
34-48747
File Number:
3-11287
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Release No.
34-48739
File Number:
3-11326
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Release No.
34-48741
File Number:
3-11327
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Release No.
34-48725, IA-2189
File Number:
3-11323
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Release No.
34-48732
File Number:
3-11325
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Release No.
34-48724, IA-2188
File Number:
3-11322
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Release No.
34-48718
File Number:
3-11320
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Release No.
IA-2186
File Number:
3-11318
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Release No.
34-48715
File Number:
3-11319
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Release No.
IA-2185, IC-26232
File Number:
3-11317
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Release No.
34-48703
File Number:
3-11315
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Release No.
34-48704
File Number:
3-11185
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Release No.
34-48705
File Number:
3-11316
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Release No.
33-8308
File Number:
3-11310
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Release No.
33-8309
File Number:
3-11311
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Release No.
33-8305
File Number:
3-11307
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Release No.
33-8310
File Number:
3-11312
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Release No.
33-8306
File Number:
3-11308
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Release No.
33-8311
File Number:
3-11313
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Release No.
33-8307
File Number:
3-11309
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Release No.
34-48682, AAER-1906
File Number:
3-11314
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Release No.
34-48679, AAER-1905
File Number:
3-11306
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Release No.
34-48661
File Number:
3-11305
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Release No.
34-48654, AAER-1899
File Number:
3-9045
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Release No.
34-48655, AAER-1900
File Number:
3-9045
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Release No.
34-48638, AAER-1898
File Number:
3-11301
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Release No.
34-48642, IA-2182
File Number:
3-11302
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Release No.
33-8304, 34-48643, IA-2183, IC-26209
File Number:
3-11303
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Release No.
34-48645, IA-2184
File Number:
3-11304
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Release No.
34-48628
File Number:
3-11297
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Release No.
34-48629, AAER-1897
File Number:
3-11298
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Release No.
34-48633
File Number:
3-11299
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Release No.
34-48635
File Number:
3-11300
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Release No.
34-48608, AAER-1892
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Release No.
33-8301
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Release No.
33-8302, 34-48602
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Release No.
33-8300, 34-48594, AAER-1889
File Number:
3-11295
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Release No.
34-48593
File Number:
3-11294
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Release No.
33-8298, 34-48588, IA-2180, IC-26201
File Number:
3-11292
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Release No.
33-8299, 34-48589
File Number:
3-11293
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Release No.
34-48580, AAER-1885
File Number:
3-11291
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Release No.
34-48578, AAER-1884
File Number:
3-11290
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Release No.
34-48572
File Number:
3-11287
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Release No.
IA-2178
File Number:
3-11286
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Release No.
34-48574
File Number:
3-11288
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Release No.
34-48570, AAER-1880
File Number:
3-11284
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Release No.
33-8296, 34-48575, AAER-1882
File Number:
3-11289
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Release No.
34-48571, AAER-1881
File Number:
3-11285
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Release No.
34-48566
File Number:
3-11282
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Release No.
34-48427A
File Number:
3-11239
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Release No.
34-48567
File Number:
3-11283
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