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.
34-102135
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
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Release No.
34-102009, IA-6800
File Number:
3-22373
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Release No.
34-101996
File Number:
3-22243
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Release No.
34-102001
See Also:
Administrative Summary
File Number:
3-22372
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Release No.
34-101988, AAER-4551
File Number:
3-22370
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Release No.
34-101987, AAER-4550
File Number:
3-22369
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Release No.
34-101986
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Release No.
34-101984
File Number:
3-21211
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Release No.
34-101981
File Number:
3-22368
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Release No.
IA-6798
File Number:
3-22367
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Release No.
34-101972, AAER-4549
See Also:
Administrative Summary
File Number:
3-22366
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Release No.
34-101961
File Number:
3-15635
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Release No.
34-101959
See Also:
Plan of Distribution
File Number:
3-21585
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Release No.
34-101958
File Number:
3-20252, 3-20253
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Release No.
34-101937
See Also:
Administrative Summary
File Number:
3-22364
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Release No.
34-101936
See Also:
Administrative Summary
File Number:
3-22363
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Release No.
34-101934, AAER-4548
File Number:
3-22362
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Release No.
34-101933
File Number:
3-18424
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Release No.
33-11344, 34-101931, AAER-4547
File Number:
3-22361
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Release No.
33-11343, 34-101928
See Also:
Administrative Summary
File Number:
3-22360
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Release No.
34-101926
File Number:
3-22359
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Release No.
34-101924
File Number:
3-22358
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Release No.
34-101904
File Number:
3-22357
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Release No.
33-11340, 34-101903
See Also:
Administrative Summary
File Number:
3-22356
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Release No.
IA-6795
See Also:
Administrative Summary
File Number:
3-22355
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Release No.
IA-6794
See Also:
Administrative Summary
File Number:
3-22354
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Release No.
IA-6793
See Also:
Administrative Summary
File Number:
3-22353
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Release No.
IA-6792
See Also:
Administrative Summary
File Number:
3-22352
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Release No.
IA-6791
See Also:
Administrative Summary
File Number:
3-22351
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Release No.
IA-6790
See Also:
Administrative Summary
File Number:
3-22350
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Release No.
IA-6789
See Also:
Administrative Summary
File Number:
3-22349
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Release No.
33-11339, 34-101898
File Number:
3-22348
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Release No.
33-11338, IA-6788
File Number:
3-22346
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Release No.
34-101861
File Number:
3-22345
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Release No.
34-101859
File Number:
3-22344
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Release No.
34-101855
File Number:
3-22061
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Release No.
34-101852
File Number:
3-22245
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Release No.
33-11336, 34-101854
File Number:
3-22343
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Release No.
33-11335, 34-101853
File Number:
3-22342
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Release No.
33-11334, 34-101848
File Number:
3-22341
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Release No.
33-11333, 34-101847, IA-6784, IC-35407
File Number:
3-22340
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Release No.
34-101842, IA-6782
File Number:
3-22339
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Release No.
34-101841
File Number:
3-20600
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Release No.
34-101815
File Number:
3-21673
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Release No.
34-101814
File Number:
3-22173, 3-22174
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Release No.
34-101813, IA-6779
File Number:
3-22338
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Release No.
34-101810, AAER-4545
File Number:
3-20076
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Release No.
34-101809
See Also:
Proposed Plan of Distribution
File Number:
3-21761
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Release No.
34-101808
See Also:
Proposed Plan of Distribution
File Number:
3-21766
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Release No.
34-101805
File Number:
3-22258
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Release No.
34-101799
File Number:
3-16938
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Release No.
34-101804, AAER-4544
File Number:
3-20998
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Release No.
34-101800
See Also:
Proposed Plan of Distribution
Submit Comments on:
Notice of Proposed Plan of Distribution and Opportunity for Comment
File Number:
3-21145
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Release No.
34-101796
File Number:
3-22336
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Release No.
33-11332, 34-101797
File Number:
3-22337
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Release No.
34-101795
File Number:
3-21864
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Release No.
34-101791
File Number:
3-22072
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Release No.
34-101794
See Also:
Administrative Summary
File Number:
3-22335
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Release No.
34-101763
See Also:
Administrative Summary
File Number:
3-22334
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Release No.
34-101762
See Also:
Administrative Summary
File Number:
3-22333
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Release No.
34-101761
File Number:
3-21145
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Release No.
34-101760
See Also:
Plan of Distribution
File Number:
3-21535
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Release No.
34-101757
See Also:
Proposed Plan of Distribution
File Number:
3-21816
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Release No.
34-101756
See Also:
Proposed Plan of Distribution
Comments received are available:
http://www.sec.gov/comments/3-20945/3-20945.htm
File Number:
3-20945
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Release No.
34-101755
File Number:
3-20455
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Release No.
34-101750
File Number:
3-19816
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Release No.
34-101749
File Number:
3-22111
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Release No.
34-101748
File Number:
3-22259
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Release No.
34-101731, AAER-4543
File Number:
3-19804
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Release No.
33-11329, IA-6776
See Also:
Administrative Summary
File Number:
3-22331
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Release No.
34-101706
File Number:
3-22329
|
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Release No.
34-101707
File Number:
3-22330
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Release No.
34-101705
File Number:
3-22328
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Release No.
33-11328, 34-101702, AAER-4542
File Number:
3-22327
|
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Release No.
34-101674
File Number:
3-22262
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Release No.
34-101659
See Also:
Proposed Plan of Distribution
Comments received are available:
http://www.sec.gov/comments/3-21655/3-21655.htm
File Number:
3-21655
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Release No.
34-101658
File Number:
3-21546
|
30 days from date of this Notice