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.
34-102344
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
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Release No.
34-102135
File Number:
3-21655
|
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Release No.
34-102117
File Number:
3-22388
|
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Release No.
34-102128
File Number:
3-21586
|
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Release No.
34-102119
File Number:
3-20448
|
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Release No.
34-102127
File Number:
3-17212
|
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Release No.
34-102123
File Number:
3-20526
|
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Release No.
34-102118
See Also:
Plan of Distribution
File Number:
3-20185
|
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Release No.
34-102088
File Number:
3-22387
|
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Release No.
34-102060, AAER-4554
File Number:
3-22386
|
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Release No.
IA-6806
File Number:
3-22385
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Release No.
34-102047, AAER-4553
File Number:
3-22384
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Release No.
34-102031
File Number:
3-22383
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Release No.
33-11349
File Number:
3-22382
|
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Release No.
34-102021, IA-6805
File Number:
3-22381
|
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Release No.
IA-6804
See Also:
Administrative Summary
File Number:
3-22380
|
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Release No.
34-102020, AAER-4552
File Number:
3-20229
|
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Release No.
34-102019
See Also:
Plan of Distribution
File Number:
3-20954, 3-20955
|
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Release No.
IA-6802
See Also:
Administrative Summary
File Number:
3-22371
|
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Release No.
IA-6803
See Also:
Administrative Summary
File Number:
3-22379
|
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Release No.
33-11348
File Number:
3-22378
|
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Release No.
33-11347
File Number:
3-22377
|
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Release No.
33-11346
File Number:
3-22376
|
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Release No.
34-102011
File Number:
3-22375
|
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Release No.
34-102008, IA-6799
File Number:
3-22374
|