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.
34-100886
See Also:
Proposed Plan of Distribution
File Number:
3-20954, 3-20955
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Release No.
34-100885
File Number:
3-21925
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Release No.
IA-6669
File Number:
3-22040
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Release No.
34-100848, IA-6667
File Number:
3-22039
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Release No.
34-100845, AAER-4514
See Also:
Administrative Summary
File Number:
3-22037
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Release No.
34-100846
File Number:
3-22038
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Release No.
34-100820
See Also:
Administrative Summary
File Number:
3-22034
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Release No.
34-100822
File Number:
3-22036
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Release No.
34-100821
File Number:
3-22035
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Release No.
34-100819
See Also:
Administrative Summary
File Number:
3-22033
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Release No.
IA-6666
File Number:
3-22032
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Release No.
IA-6665
See Also:
Administrative Summary
File Number:
3-22031
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Release No.
34-100808
See Also:
Distribution Plan
File Number:
3-19899, 3-19900, 3-19901, 3-19902
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Release No.
34-100801
File Number:
3-22030
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Release No.
34-100800
File Number:
3-22029
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Release No.
34-100796
File Number:
3-22028
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Release No.
34-100795
File Number:
3-22027
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Release No.
34-100782
File Number:
3-22026
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Release No.
34-100781
File Number:
3-22025
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Release No.
34-100780
File Number:
3-22024
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Release No.
34-100775
File Number:
3-22022
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Release No.
34-100776
File Number:
3-22023
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Release No.
IA-6663
See Also:
Administrative Summary
File Number:
3-22021
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Release No.
IA-6662
See Also:
Administrative Summary
File Number:
3-22019
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Release No.
34-100769
File Number:
3-22020
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Release No.
34-100766
File Number:
3-22018
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Release No.
34-100765
File Number:
3-22017
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Release No.
34-100764
File Number:
3-22016
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Release No.
34-100763
File Number:
3-22015
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Release No.
34-100761
File Number:
3-22014
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Release No.
34-100760
File Number:
3-22013
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Release No.
34-100756
File Number:
3-22012
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Release No.
34-100755
File Number:
3-22011
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Release No.
34-100754
See Also:
Plan of Distribution
File Number:
3-21610
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Release No.
34-100728
File Number:
3-22010
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Release No.
34-100712, IA-6661
File Number:
3-22009
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Release No.
34-100711, IA-6660
File Number:
3-22008
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Release No.
34-100710, IA-6659
File Number:
3-22007
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Release No.
34-100709, IA-6658
File Number:
3-22006
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Release No.
34-100708
File Number:
3-22005
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Release No.
34-100707, IA-6657
File Number:
3-22004
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Release No.
34-100706, IA-6656
File Number:
3-22003
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Release No.
34-100705, IA-6655
File Number:
3-22002
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Release No.
34-100704, IA-6654
File Number:
3- 22001
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Release No.
34-100703, IA-6653
File Number:
3-22000
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Release No.
34-100702
File Number:
3-21998
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Release No.
34-100701, IA-6651
File Number:
3-21997
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Release No.
34-100698, IA-6649
File Number:
3-21994
|
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Release No.
34-100697, IA-6648
File Number:
3-21993
|
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Release No.
34-100696
File Number:
3-21992
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Release No.
34-100700
File Number:
3-21996
|
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Release No.
34-100699, IA-6650
File Number:
3-21995
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Release No.
IA-6652
File Number:
3-21999
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Release No.
34-100692
File Number:
3-21991
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Release No.
34-100691, IA-6647
See Also:
Administrative Summary
File Number:
3-21990
|
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Release No.
33-11297, 34-100688
File Number:
3-21989
|
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Release No.
33-11296, 34-100684, AAER-4512
File Number:
3-21988
|
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Release No.
IA-6646
See Also:
Administrative Summary
File Number:
3-21987
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Release No.
34-100668
See Also:
Amended Plan of Distribution
File Number:
3-20003
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Release No.
34-100618, IA-6642
File Number:
3-21986
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Release No.
34-100616, IA-6641
See Also:
Administrative Summary
File Number:
3-21984
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Release No.
34-100615, IA-6640
See Also:
Administrative Summary
File Number:
3-21983
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Release No.
34-100604
File Number:
3-21862
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Release No.
34-100600
File Number:
3-20600
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Release No.
34-100598
File Number:
3-20954, 3-20955
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Release No.
34-100586
File Number:
3-17808, 3-17809
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Release No.
34-100574
File Number:
3-20883, 3-20884, 3-20885, 3-20886, 3-20887, 3-20889
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Release No.
34-100573
File Number:
3-21145
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Release No.
34-100572
File Number:
3-21585
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Release No.
34-100571
File Number:
3-16098
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Release No.
34-100570
File Number:
3-21959
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Release No.
34-100527
File Number:
3-19334
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Release No.
34-100526
File Number:
3-15654
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Release No.
34-100452
File Number:
3-17673
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Release No.
IA-6636
File Number:
3-21125
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Release No.
IA-6635
File Number:
3-21980
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Release No.
IA-6634
File Number:
3-21979
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Release No.
34-100428
File Number:
3-21978
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Release No.
34-100419, AAER-4511
See Also:
Administrative Summary
File Number:
3-21977
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Release No.
33-11292, 34-100415
File Number:
3-21976
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Release No.
34-100410
See Also:
Proposed Plan of Distribution
Submit Comments on:
Notice of Proposed Plan of Distribution and Opportunity for Comment
File Number:
3-19899, 3-19900, 3-19901, 3-19902
|
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|
Release No.
34-100389, AAER-4510
See Also:
Administrative Summary
File Number:
3-21975
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Release No.
34-100383
File Number:
3-21973
|
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Release No.
34-100382
File Number:
3-21974
|
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Release No.
34-100381
File Number:
3-21972
|
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Release No.
34-100379
File Number:
3-20906
|
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|
Release No.
34-100376
See Also:
Proposed Plan of Distribution
Comments Due:
Thirty (30) days from the date of this Notice
Submit Comments on:
Notice of Proposed Plan of Distribution and Opportunity for Comment
File Number:
3-21610, 3-21612, 3-21613, 3-21614, 3-21615, 3-21616
|
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|
Release No.
34-100373
File Number:
3-21971
|
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Release No.
34-100369
File Number:
3-21535
|
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Release No.
34-100368
File Number:
3-21970
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Release No.
34-100365
File Number:
3-21969
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Release No.
33-11291, 34-100361, AAE-4508
File Number:
3-21968
|
|
|
Release No.
34-100360
See Also:
Corrected Plan of Distribution
File Number:
3-21295
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Release No.
34-100359
File Number:
3-21405
|
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Release No.
34-100351, IA-6629
File Number:
3-21967
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Release No.
34-100339
File Number:
3-21966
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Release No.
IA-6628
See Also:
Administrative Summary
File Number:
3-21965
|
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Release No.
33-11290, 34-100329
File Number:
3-21964
|
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Release No.
34-100323, IA-6627
File Number:
3-21963
|
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Release No.
34-100318, IA-6623
File Number:
3-21962
|
Thirty (30) days from the date of this Notice