Breadcrumb

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.

Date Sort ascending Respondents
Release No. 34-98803
File Number: 3-21585
Release No. IA-6470
File Number: 3-21787
Release No. IA-6468, IC-35035
File Number: 3-21786
Release No. 34-98786
File Number: 3-21466
Release No. 34-98788, AAER-4472
File Number: 3-21785
Release No. 34-98779, AAER-4471
File Number: 3-21784
Release No. 34-98773
File Number: 3-21394
Release No. 34-98774
File Number: 3-21716
Release No. 34-98776
File Number: 3-21722
Release No. 34-98775
File Number: 3-21783
Release No. 34-98763
File Number: 3-19734
Release No. 34-98762
File Number: 3-20526
Release No. 34-98750
File Number: 3-21457
Release No. 34-98735
Comments Due:

Thirty (30) days from the date of this Notice

File Number: 3-21140
Release No. IA-6460
File Number: 3-21278
Release No. 34-98723
File Number: 3-21446
Release No. IA-6457, IC-35031
File Number: 3-21782
Release No. 34-98716, IA-6456
File Number: 3-21781
Release No. IA-6455
File Number: 3-21780
Release No. 34-98714
File Number: 3-20880
Release No. 34-98705
File Number: 3-21535
Release No. 34-98694
File Number: 3-21461
Release No. 34-98669, IA-6453
File Number: 3-21778
Release No. 34-98667, AAER-4470
File Number: 3-21777
Release No. IA-6451
File Number: 3-21774
Release No. 34-98641, IA-6452
File Number: 3-21775
Release No. IA-6450
File Number: 3-21771
Release No. 34-98608
File Number: 3-21751
Release No. IA-6439
File Number: 3-21752
Release No. 34-98633
File Number: 3-21770
Release No. 34-98632, IA-6449
File Number: 3-21769
Release No. 34-98631, IA-6448
File Number: 3-21768
Release No. 34-98630
File Number: 3-21767
Release No. 34-98627, IA-6447
File Number: 3-21765
Release No. 34-98626, IA-6446
File Number: 3-21764
Release No. 34-98605
File Number: 3-21749
Release No. 34-98654
File Number: 3-21776
Release No. 34-98638
File Number: 3-21773
Release No. 34-98636
File Number: 3-21772
Release No. 33-11251, 34-98629, AAER-4469
File Number: 3-21766
Release No. 34-98622, AAER-4468
File Number: 3-21763
Release No. 33-11247, 34-98612
File Number: 3-21748
Release No. IA-6444
File Number: 3-21760
Release No. IA-6443
File Number: 3-21759
Release No. IA-6442
File Number: 3-21758
Release No. IA-6441
File Number: 3-21757
Release No. 34-98619
File Number: 3-21762
Release No. IA-6445
File Number: 3-21756
Release No. IA-6438, AAER-4464
File Number: 3-21750
Release No. IA-6437
File Number: 3-21747
Release No. 33-11248, 34-98616, AAER-4467
File Number: 3-21761
Release No. 34-98609, IA-6440
File Number: 3-21753
Release No. 34-98611, AAER-4465
File Number: 3-21754
Release No. 34-98615, AAER-4466
File Number: 3-21755
Release No. 34-98600
File Number: 3-20945
Release No. 34-98595, AAER-4463
File Number: 3-21746
Release No. 34-98594
File Number: 3-20881
Release No. 33-11245, 34-98577, AAER-4462
File Number: 3-21745
Release No. 33-11244, 34-98575
File Number: 3-21743
Release No. 33-11243, 34-98574
File Number: 3-21741
Release No. 34-98576
File Number: 3-21744
Release No. 34-98569
File Number: 3-17582
Release No. 34-98556
File Number: 3-21740
Release No. 34-98555
File Number: 3-21739
Release No. 34-98553
File Number: 3-21738
Release No. 34-98552
File Number: 3-21737
Release No. 34-98551
File Number: 3-21736
Release No. 34-98550
File Number: 3-21735
Release No. 34-98549
File Number: 3-21734
Release No. 34-98548
File Number: 3-21733
Release No. 34-98547
File Number: 3-21732
Release No. 34-98546
File Number: 3-21731
Release No. 34-98545
File Number: 3-21730
Release No. 34-98543
File Number: 3-21729
Release No. 34-98542
File Number: 3-21728
Release No. 34-98540
File Number: 3-20964
Release No. 34-98538
File Number: 3-21385
Release No. 34-98518
File Number: 3-21718
Release No. 34-98537
File Number: 3-21727
Release No. 34-98526
File Number: 3-21726
Release No. IA-6435
File Number: 3-21725
Release No. IA-6434
File Number: 3-21724
Release No. 34-98525
File Number: 3-21723
Release No. 34-98524
File Number: 3-21722
Release No. 34-98523
File Number: 3-21721
Release No. 34-98522
File Number: 3-21720
Release No. 34-98521
File Number: 3-21719
Release No. 34-98520
File Number: 3-20999
Release No. 34-98517
File Number: 3-21382
Release No. 34-98512
File Number: 3-20781
Release No. 34-98510
File Number: 3-21717
Release No. 34-98507
File Number: 3-21716
Release No. 34-98506
File Number: 3-21715
Release No. 34-98503
File Number: 3-21714
Release No. 34-98501
File Number: 3-21713
Release No. 34-98499, AAER-4461
File Number: 3-21712
Release No. 34-98492, AAER-4460
File Number: 3-21710
Release No. 33-11241, 34-98491, AAER-4459
File Number: 3-21708
Release No. 34-98493
File Number: 3-20932
Release No. IA-6433
File Number: 3-21711