Administrative Proceedings
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
The list below provides 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.
| Date Sort descending | Respondents |
|---|---|
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Release No.
34-102520
File Number:
3-22459
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Release No.
34-102521
File Number:
3-21537, 3-21538, 3-21842
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Release No.
34-102515
File Number:
3-22458
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Release No.
34-102489
File Number:
3-22309
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Release No.
34-102488
See Also:
Proposed Plan of Distribution
File Number:
3-21825, 3-21826
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Release No.
34-102481
File Number:
3-16000
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Release No.
34-102470
File Number:
3-22382
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Release No.
34-102469
File Number:
3-19535
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Release No.
34-102454
File Number:
3-22316
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Release No.
34-102452, IA-6858
File Number:
3-22457
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Release No.
IA-6857
File Number:
3-22455
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Release No.
34-102439
File Number:
3-21943
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Release No.
34-102431, IA-6856
File Number:
3-22454
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Release No.
34-102425, IA-6855
File Number:
3-22453
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Release No.
IA-6850
File Number:
3-22452
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Release No.
34-102395
File Number:
3-22361
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Release No.
34-102393
File Number:
3-19927
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Release No.
34-102390
File Number:
3-20597
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Release No.
34-102388
File Number:
3-22259
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Release No.
34-102387
File Number:
3-20162
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Release No.
34-102379
File Number:
3-22451
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Release No.
34-102369
File Number:
3-18952
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Release No.
34-102365
File Number:
3-22327
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Release No.
34-102360
File Number:
3-22450
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Release No.
34-102344
See Also:
Plan of Distribution
File Number:
3-21761
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Release No.
34-102340
File Number:
3-22449
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Release No.
33-11364, 34-102332, AAER-4562
File Number:
3-22448
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Release No.
34-102317
File Number:
3-20628, 3-20629
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Release No.
34-102307
File Number:
3-22447
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Release No.
33-11363, 34-102306 , AAER-4561
File Number:
3-22446
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Release No.
34-102304
File Number:
3-20003
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Release No.
34-102301
See Also:
Plan of Distribtution
File Number:
3-21145
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Release No.
34-102300
File Number:
3-21673
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Release No.
34-102299
See Also:
Plan of Distribution
File Number:
3-21766
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Release No.
34-102298
See Also:
Plan of Distribution
File Number:
3-21816
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Release No.
34-102292
File Number:
3-22309
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Release No.
34-102291
File Number:
3-17351
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Release No.
34-102283, IA-6837
File Number:
3-21266
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Release No.
34-102266
See Also:
Administrative Summary
File Number:
3-22443
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Release No.
33-11362
File Number:
3-22445
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Release No.
34-102265
File Number:
3-22442
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Release No.
34-102268
File Number:
3-22444
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Release No.
IA-6833
File Number:
3-22441
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Release No.
IA-6832
File Number:
3-22440
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Release No.
34-102257
File Number:
3-22034
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Release No.
34-102254
See Also:
Proposed Plan of Distribution
Comments received are available:
https://www.sec.gov/comments/3-21181/3-21181.htm
File Number:
3-21181
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Release No.
34-102251
File Number:
3-22439
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Release No.
34-102228
File Number:
3-21654
|
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Release No.
34-102248
File Number:
3-22438
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Release No.
34-102247
File Number:
3-22437
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Release No.
34-102246
File Number:
3-22436
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Release No.
34-102233
File Number:
3-22434
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Release No.
33-11357
File Number:
3-22427
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Release No.
33-11358
File Number:
3-22428
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Release No.
33-11359, IA-6830, IC-35453
File Number:
3-22435
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Release No.
34-102230
File Number:
3-22431
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Release No.
34-102236
File Number:
3-20945
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Release No.
33-11354, AAER-4556
File Number:
3-22421
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Release No.
34-102231, IA-6828, AAER-4560
See Also:
Administrative Summary
File Number:
3-22432
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Release No.
34-102224, IA-6825
File Number:
3-22422
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Release No.
IA-6829
File Number:
3-22433
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Release No.
34-102229, IA-6827
File Number:
3-22430
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Release No.
34-102227, AAER-4559
See Also:
Administrative Summary
File Number:
3-22429
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Release No.
34-102225, AAER-4557
See Also:
Administrative Summary
File Number:
3-22424
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Release No.
33-11356, 34-102226, AAER-4558
See Also:
Administrative Summary
File Number:
3-22425
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Release No.
33-11355
See Also:
Administrative Summary
File Number:
3-22423
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Release No.
IA-6826
See Also:
Administrative Summary
File Number:
3-22426
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Release No.
34-102222
File Number:
3-22420
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Release No.
34-102221
File Number:
3-22419
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Release No.
34-102207, IA-6824
File Number:
3-22418
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Release No.
34-102204
File Number:
3-22417
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Release No.
33-11353, 34-102195, AAER-4555
See Also:
Administrative Summary
File Number:
3-22416
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Release No.
33-11352, 34-102177
See Also:
Administrative Summary
File Number:
3-22413
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Release No.
34-102184
File Number:
3-19764
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Release No.
34-102192
See Also:
Administrative Summary
File Number:
3-22415
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Release No.
34-102189
File Number:
3-17385
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Release No.
IA-6823
File Number:
3-22414
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Release No.
34-102176, IA-6822
File Number:
3-22412
|
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Release No.
34-102175, IA-6821
File Number:
3-22411
|
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Release No.
34-102174, IA-6820
File Number:
3-22410
|
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Release No.
IA-6819
File Number:
3-22409
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Release No.
34-102173, IA-6818
File Number:
3-22408
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Release No.
34-102172, IA-6817
File Number:
3-22407
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Release No.
34-102171
File Number:
3-22406
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Release No.
34-102167
File Number:
3-22404
|
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Release No.
IA-6816
File Number:
3-22403
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Release No.
IA-6815
File Number:
3-22402
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Release No.
IA-6814
File Number:
3-22401
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Release No.
IA-6813
File Number:
3-22400
|
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Release No.
IA-6812
File Number:
3-22399
|
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Release No.
34-102170
File Number:
3-22405
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Release No.
34-102160
File Number:
3-22398
|
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Release No.
34-102157
See Also:
Administrative Summary
File Number:
3-22396
|
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Release No.
33-11351, 34-102147
File Number:
3-22394
|
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Release No.
34-102146
See Also:
Administrative Summary
File Number:
3-22393
|
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Release No.
IA-6811
See Also:
Administrative Summary
File Number:
3-22392
|
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Release No.
IA-6810
See Also:
Administrative Summary
File Number:
3-22395
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Release No.
34-102142
File Number:
3-22390
|
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Release No.
34-102143
File Number:
3-22391
|
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Release No.
34-102141
See Also:
Administrative Summary
File Number:
3-22389
|