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.
34-101657
File Number:
3-22325
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Release No.
34-101653
File Number:
3-19816
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Release No.
34-101650
File Number:
3-22063
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Release No.
34-101649, AAER-4541
File Number:
3-22324
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Release No.
34-101633
See Also:
Administrative Summary
File Number:
3-22323
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Release No.
34-101632
File Number:
3-22242
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Release No.
34-101606
File Number:
3-22060
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Release No.
34-101618
File Number:
3-15635
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Release No.
34-101612
File Number:
3-21405
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Release No.
34-101610
File Number:
3-21655
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Release No.
34-101609
File Number:
3-20932
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Release No.
34-101608
File Number:
3-22322
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Release No.
34-101607
File Number:
3-22313
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Release No.
34-101602
File Number:
3-22321
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Release No.
34-101600
File Number:
3-22320
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Release No.
34-101598
See Also:
Plan of Distribution
File Number:
3-21602
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Release No.
34-101597
See Also:
Plan of Distribution
File Number:
3-19499, 3-19500
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Release No.
34-101596
See Also:
Plan of Distribution
File Number:
3-18561, 3-18562, 3-18563
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Release No.
34-101595
File Number:
3-22319
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Release No.
34-101594
File Number:
3-22318
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Release No.
34-101593
File Number:
3-22317
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Release No.
34-101592
File Number:
3-22316
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Release No.
34-101591
File Number:
3-22315
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Release No.
34-101590
File Number:
3-22314
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Release No.
34-101585, AAER-4540
File Number:
3-22312
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Release No.
34-101580, AAER-4539
File Number:
3-22311
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Release No.
34-101579, AAER-4538
File Number:
3-22310
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Release No.
33-11326, 34-101574, AAER-4537
See Also:
Administrative Summary
File Number:
3-22309
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Release No.
IA-6772
See Also:
Administrative Summary
File Number:
3-22308
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Release No.
IA-6771
See Also:
Administrative Summary
File Number:
3-22307
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Release No.
IA-6770
File Number:
3-22306
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Release No.
34-101553
File Number:
3-22303
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Release No.
34-101558, IA-6769
File Number:
3-22305
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Release No.
34-101554
File Number:
3-22304
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Release No.
34-101549
File Number:
3-22302
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Release No.
34-101548
File Number:
3-22301
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Release No.
IA-6768
File Number:
3-22300
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Release No.
34-101545
File Number:
3-22299
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Release No.
34-101544
File Number:
3-22298
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Release No.
34-101542
File Number:
3-22297
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Release No.
34-101541
File Number:
3-22296
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Release No.
34-101539
File Number:
3-22295
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Release No.
34-101538
File Number:
3-22294
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Release No.
34-101535
File Number:
3-22293
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Release No.
34-101534
File Number:
3-22292
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Release No.
IA-6766
File Number:
3-22291
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Release No.
34-101528
File Number:
3-22290
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Release No.
34-101527
File Number:
3-22289
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Release No.
34-101523
File Number:
3-22288
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Release No.
34-101522
File Number:
3-22287
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Release No.
34-101521, IA-6765
File Number:
3-22286
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Release No.
34-101513
See Also:
Proposed Plan of Distribution
Submit Comments on:
3-20185 - Notice of Proposed Plan of Distribution and Opportunity for Comment
File Number:
3-20185
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Release No.
34-101512
File Number:
3-21295
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Release No.
34-101508
File Number:
3-21405
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Release No.
IA-6763
See Also:
Administrative Summary
File Number:
3-22283
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Release No.
IA-6761, IC-35374
File Number:
3-22282
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Release No.
33-11324, 34-101495, IA-6760
File Number:
3-22280
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Release No.
IC-35373
File Number:
3-22281
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Release No.
34-101494, IA-6759
File Number:
3-22278
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Release No.
34-101493, IA-6758
File Number:
3-22279
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Release No.
34-101484
File Number:
3-20166
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Release No.
34-101472
File Number:
3-22277
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Release No.
34-101459
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:
3-21585
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Release No.
IA-6756
File Number:
3-22275
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Release No.
34-101424
See Also:
Administrative Summary
File Number:
3-22274
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Release No.
IA-6754
File Number:
3-22273
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Release No.
33-11323 , 34-101401
File Number:
3-22272
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Release No.
33-11322, 34-101400
File Number:
3-22271
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Release No.
33-11321, 34-101399
File Number:
3-22270
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Release No.
33-11320, 34-101398
File Number:
3-22269
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Release No.
34-101395
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:
3-20954
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Release No.
IA-6753, IC-35364
File Number:
3-22268
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Release No.
34-101379
See Also:
Administrative Summary
File Number:
3-22267
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Release No.
34-101378
File Number:
3-22266
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Release No.
34-101376
File Number:
3-22265
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Release No.
34-101366
File Number:
3-22264
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Release No.
34-101361
See Also:
Administrative Summary
File Number:
3-22259
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Release No.
34-101365
File Number:
3-22263
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Release No.
34-101363
File Number:
3-22261
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Release No.
34-101353, AAER-4534
File Number:
3-22256
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Release No.
34-101362
File Number:
3-22260
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Release No.
34-101364
File Number:
3-22262
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Release No.
34-101355
File Number:
3-22258
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Release No.
34-101354
File Number:
3-22257
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Release No.
34-101352, IA-6750
See Also:
Administrative Summary
File Number:
3-22255
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Release No.
33-11318, 34-101350, IA-6749
See Also:
Administrative Summary
File Number:
3-22254
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Release No.
34-101347
File Number:
3-22253
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Release No.
34-101344
File Number:
3-22252
|
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Release No.
34-101334
File Number:
3-22248
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Release No.
34-101335
File Number:
3-22249
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Release No.
34-101343
File Number:
3-22251
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Release No.
34-101339
File Number:
3-22250
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Release No.
34-101333
File Number:
3-22247
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Release No.
34-101332
File Number:
3-22246
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Release No.
34-101331
File Number:
3-22245
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Release No.
34-101330
File Number:
3-22244
|
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Release No.
34-101329
File Number:
3-22243
|
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Release No.
34-101328
File Number:
3-22242
|
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Release No.
34-101327
File Number:
3-22241
|
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Release No.
34-101326
File Number:
3-22240
|
30 days from date of this Notice