Administrative Proceedings
The links below direct you to the individual case pages for litigated administrative proceedings adjudicated by the Commission, including its consideration of appeals from initial decisions issued by administrative law judges or from SRO or PCAOB action. The case pages contain the Commission opinions and orders as well as significant filings in 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
Below is a chronological list of links to orders by the Commission instituting both litigated and settled administrative proceedings and to issuances for the Commission, by the Division of Enforcement, pursuant to delegated authority. The orders and other issuances in litigated administrative proceedings below also may be found on the individual case pages linked on the Open Litigated Administrative Proceedings and Closed Litigated Administrative Proceedings pages, together with filings made in the proceedings. The issuances pertaining to distribution proceedings may also be found in the individual case charts on the Distributions in Commission Administrative Proceedings: Notices and Orders Pertaining to Disgorgement and Fair Funds page.
| Date Sort descending | Respondents |
|---|---|
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Release No.
34-87872, IA-5423
File Number:
3-19632
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Release No.
34-87854
See Also:
Distribution Plan
Comments Due:
30 days from date of this Notice
Submit Comments on:
3-19227
File Number:
3-19227
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Release No.
34-87840, IA-5421
File Number:
3-19630
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Release No.
34-87851
File Number:
3-19541
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Release No.
34-87812, AAER-4110
See Also:
Administrative Summary
File Number:
3-19626
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Release No.
34-87815
File Number:
3-19500
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Release No.
34-87816
File Number:
3-18738
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Release No.
34-87825
File Number:
3-19627
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Release No.
34-87827
File Number:
3-19628
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Release No.
34-87836
File Number:
3-19289
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Release No.
34-87802
File Number:
3-19232
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Release No.
34-87805
File Number:
3-19625
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Release No.
34-87786
File Number:
3-19622
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Release No.
34-87787
File Number:
3-19623
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Release No.
33-10736
See Also:
Waiver Order
File Number:
3-19621
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Release No.
34-87793
File Number:
3-19624
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Release No.
33-10733, 34-87770, IC-33718
File Number:
3-17260
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Release No.
34-87772
File Number:
3-18776
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Release No.
34-87750, IA-5418, IC-33715, AAER-4108
File Number:
3-19619
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Release No.
34-87751
File Number:
3-19620
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Release No.
34-87764
File Number:
3-19618
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Release No.
IA-5417
File Number:
3-19617
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Release No.
34-87732, AAER-4107
See Also:
Administrative Summary
File Number:
3-19616
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Release No.
34-87710
File Number:
3-19465
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Release No.
IA-5416
See Also:
Administrative Summary
File Number:
3-19615
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Release No.
34-87680
File Number:
3-19614
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Release No.
33-10730, 34-87661, AAER-4105
File Number:
3-19612
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Release No.
33-10731, 34-87670, AAER-4106
See Also:
Administrative Summary
File Number:
3-19613
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Release No.
34-87657, AAER-4104
File Number:
3-16783
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Release No.
34-87644
File Number:
3-19597
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Release No.
34-87642, AAER-4103
File Number:
3-18346
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Release No.
34-87640, IA-5415
File Number:
3-19610
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Release No.
34-87627
File Number:
3-19523
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Release No.
IA-5414
File Number:
3-19609
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Release No.
34-87616
File Number:
3-19608
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Release No.
34-87626
File Number:
3-19339
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Release No.
34-87611, AAER-4102
See Also:
Administrative Summary
File Number:
3-19607
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Release No.
34-87591
File Number:
3-19604
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Release No.
34-87604
File Number:
3-19606
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Release No.
IA-5412
File Number:
3-19605
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Release No.
33-10728, 34-87605
See Also:
Administrative Summary
File Number:
3-15124
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Release No.
34-87582
File Number:
3-19602
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Release No.
34-87584
File Number:
3-19231
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Release No.
34-87586
File Number:
3-14863
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Release No.
34-87567
File Number:
3-19601
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Release No.
34-87553
File Number:
3-19465
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Release No.
34-87523
File Number:
3-11578
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Release No.
34-87504
File Number:
3-19600
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Release No.
34-87494
File Number:
3-19517
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Release No.
34-87484, AAER-4101
File Number:
3-17950
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Release No.
33-10726, 34-87483, IA-5408
See Also:
Administrative Summary
,
Waiver Order
File Number:
3-19599
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Release No.
34-87477
File Number:
3-19309
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Release No.
34-87459
File Number:
3-19598
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Release No.
34-87465
File Number:
3-19429
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Release No.
34-87453
File Number:
3-19486
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Release No.
34-87454
File Number:
3-19348
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Release No.
33-10725
File Number:
3-19597
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Release No.
34-87452
File Number:
3-19389
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Release No.
34-87438
File Number:
3-19519
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Release No.
34-87439
File Number:
3-19525
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Release No.
34-87446
File Number:
3-19595
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Release No.
34-87447, IA-5406
File Number:
3-19596
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Release No.
34-87426, IA-5405
File Number:
3-19591
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Release No.
33-10723, 34-87428
File Number:
3-19592
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Release No.
34-87429
File Number:
3-19593
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Release No.
34-87430
File Number:
3-19382
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Release No.
34-87418
File Number:
3-19383
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Release No.
34-87417
File Number:
3-19344
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Release No.
34-87416
File Number:
3-19308
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Release No.
34-87396
File Number:
3-19334
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Release No.
34-87397
File Number:
3-19415
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Release No.
IA-5404
File Number:
3-19590
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Release No.
34-87326
File Number:
3-19585
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Release No.
34-87334
File Number:
3-19587
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Release No.
34-87332
File Number:
3-19437
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Release No.
34-87333
File Number:
3-19442
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Release No.
34-87324
File Number:
3-19506
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Release No.
34-87323
File Number:
3-19459
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Release No.
34-87302
File Number:
3-19586
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Release No.
34-87307
File Number:
3-19409
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Release No.
33-10718, AAER-4100
File Number:
3-19583
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Release No.
33-10719, 34-87289
See Also:
Administrative Summary
File Number:
3-19584
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Release No.
34-87269
File Number:
3-19220
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Release No.
34-87268
File Number:
3-19581
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Release No.
34-87281, AAER-4099
See Also:
Administrative Summary
File Number:
3-19582
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Release No.
34-87283
See Also:
Distribution Plan
File Number:
3-18171
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Release No.
34-87284
See Also:
Distribution Plan
File Number:
3-16554
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Release No.
34-87285
File Number:
3-19382
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Release No.
34-87259
File Number:
3-19580
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Release No.
34-87263
File Number:
3-19433
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Release No.
34-87245, IA-5401
File Number:
3-19579
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Release No.
34-87252
File Number:
3-19409
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Release No.
34-87253
File Number:
3-19342
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Release No.
34-87238
File Number:
3-19576
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Release No.
34-87239
File Number:
3-19577
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Release No.
34-87240
File Number:
3-19578
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Release No.
34-87241
File Number:
3-19456
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Release No.
34-87242
File Number:
3-19437
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Release No.
34-87218
File Number:
3-19227
|
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Release No.
34-87220
File Number:
3-19423
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