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.

Date Sort ascending Respondents
Release No. 34-66072
File Number: 3-14656
Release No. 34-66073
File Number: 3-14656
Release No. IA-3347
File Number: 3-14552
Release No. 33-9290, 34-66066, IA-3345, IC-29895
File Number: 3-14680
Release No. IA-3346
File Number: 3-14681
Release No. 34-66060
File Number: 3-14679
Release No. 33-9289, 34-66056
File Number: 3-14678
Release No. 34-66051, AAER-3350
File Number: 3-14675
Release No. 33-9288, 34-66053, IA-3342, IC-29893
File Number: 3-14676
Release No. 34-66055, IA-3343
File Number: 3-14677
Release No. 34-66025
File Number: 3-14601
Release No. 34-66039
Submit Comments on: 3-11553
File Number: 3-11553
Release No. 34-66026
File Number: 3-14617
Release No. 34-66027
File Number: 3-14616
Release No. 34-66028
File Number: 3-14637
Release No. 34-66017
File Number: 3-14646
Release No. 34-66024, AAER-3349
File Number: 3-14674
Release No. 34-66009
File Number: 3-14673
Release No. 34-65996, AAER-3347
File Number: 3-14671
Release No. 34-66000
Release No. 34-65997
Release No. 34-65998, IC-29887
Release No. 34-65999
Release No. 34-65981, IA-3338
File Number: 3-14667
Release No. 34-65957, IA-3335
File Number: 3-14473
Release No. 34-65982, IA-3339
File Number: 3-14668
Release No. 34-65961
File Number: 3-14664
Release No. 34-65983
File Number: 3-14669
Release No. 34-65962
File Number: 3-14665
Release No. 34-65985, AAER-3345
File Number: 3-14670
Release No. IA-3337
File Number: 3-14666
Release No. 34-65956
File Number: 3-14634
Release No. 34-65950, AAER-3344
File Number: 3-14339
Release No. 34-65951
File Number: 3-14662
Release No. 34-65952
File Number: 3-14663
Release No. 34-65948
File Number: 3-14622
Release No. 34-65941
File Number: 3-14660
Release No. 34-65947
File Number: 3-14661
Release No. 34-65243A
File Number: 3-11317
Release No. 34-65936
File Number: 3-12868
Release No. 34-65937
File Number: 3-13263
Release No. 34-65930
File Number: 3-14659
Release No. 34-65935
File Number: 3-11645
Release No. 34-65920
File Number: 3-14656
Release No. IA-3332
File Number: 3-14657
Release No. 34-65923, IA-3333
File Number: 3-14658
Release No. 34-65919
File Number: 3-13847
Release No. 34-65909, IA-3331
File Number: 3-14655
Release No. IA-3329
File Number: 3-14653
Release No. 34-65908
File Number: 3-14594
Release No. IA-3330
File Number: 3-14654
Release No. 34-65905
File Number: 3-14604
Release No. IA-3328
File Number: 3-14548
Release No. 34-65880
File Number: 3-14616
Release No. 34-65881
File Number: 3-14604
Release No. 34-65891
File Number: 3-14652
Release No. 34-65892
File Number: 3-11987
Release No. 34-65882, AAER-3339
File Number: 3-14651
Release No. 34-65855
File Number: 3-14616
Release No. 34-65850
File Number: 3-14432
Release No. IA-3327
File Number: 3-14650
Release No. 34-65849
File Number: 3-14648
Release No. IA-3326, IC-29877
File Number: 3-14649
Release No. 34-65848
File Number: 3-14647
Release No. IA-3324, IC-29874
File Number: 3-14644
Release No. 34-65838, IA-3325, IC-29875
File Number: 3-14645
Release No. 34-65829, IA-3321
File Number: 3-14641
Release No. 34-65839
File Number: 3-14646
Release No. 34-65830, IA-3322
File Number: 3-14642
Release No. 34-65837, IA-3323, IC-29873
File Number: 3-14643
Release No. 34-65808
File Number: 3-14639
Release No. 34-65802
File Number: 3-14608
Release No. IA-3320
File Number: 3-14638
Release No. 34-65799
File Number: 3-14636
Release No. 34-65801
Release No. IA-3319
File Number: 3-14635
Release No. 34-65798
File Number: 3-11987
Release No. 34-65785
File Number: 3-14634
Release No. 34-65783, IA-3318
File Number: 3-14633
Release No. 34-65766
File Number: 3-14584
Release No. 34-65767
File Number: 3-14608
Release No. IA-3316
File Number: 3-14632
Release No. 34-65753
File Number: 3-14595
Release No. 34-65751
File Number: 3-14595
Release No. 34-65752
File Number: 3-14588
Release No. 34-65762
File Number: 3-14631
Release No. 34-65757
File Number: 3-14627
Release No. IA-3315, IC-29862
File Number: 3-14628
Release No. 34-65754, AAER-3336
File Number: 3-14624
Release No. 34-65759, AAER-3338
File Number: 3-14629
Release No. 34-65755, AAER-3337
File Number: 3-14625
Release No. 33-9280, 34-65760
File Number: 3-14630
Release No. 34-65756
File Number: 3-14626
Release No. 34-65748
File Number: 3-14608
Release No. 33-9277, 34-65750, IA-3314, IC-29861
File Number: 3-14623
Release No. 34-65747
File Number: 3-14606
Release No. 34-65740
File Number: 3-14587
Release No. 34-65746
File Number: 3-11818
Release No. 34-65739
File Number: 3-14621
Release No. 33-9275, 34-65726, IA-3313
File Number: 3-14619