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.
34-84101
File Number:
3-18753
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Release No.
34-84102
File Number:
3-18754
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Release No.
34-84104
File Number:
3-18755
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Release No.
33-10542, 34-84074, IA-5003
File Number:
3-18738
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Release No.
33-10543, 34-84075, IC-33221
File Number:
3-18739
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Release No.
33-10544, IA-5004, IC-33222
File Number:
3-18740
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Release No.
34-84080
File Number:
3-18741
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Release No.
34-84082
File Number:
3-18742
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Release No.
34-84084
File Number:
3-18743
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Release No.
34-84086
File Number:
3-18744
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Release No.
34-84070
File Number:
3-18736
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Release No.
34-84072
File Number:
3-18737
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Release No.
IA-5002
See Also:
Administrative Summary
File Number:
3-18730
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Release No.
34-84058
File Number:
3-14191, 3-14192
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Release No.
34-84059
File Number:
3-18731
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Release No.
34-84061
File Number:
3-18732
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Release No.
34-84055, AAER-3969
File Number:
3-17628
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Release No.
IA-5001
File Number:
3-18729
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Release No.
34-84064
File Number:
3-18733
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Release No.
34-84066
File Number:
3-18734
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Release No.
34-84067
File Number:
3-18735
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Release No.
34-84050
File Number:
3-18726
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Release No.
34-84052
File Number:
3-18727
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Release No.
34-84054, AAER-3968
File Number:
3-18728
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Release No.
IA-5000, IC-33218
File Number:
3-18724
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Release No.
34-84043
File Number:
3-18724
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Release No.
34-84044
See Also:
Proposed Distribution Plan
Comments Due:
30 days from date of this Notice
File Number:
3-17212
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Release No.
34-84048
File Number:
3-18725
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Release No.
34-84039
File Number:
3-18720
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Release No.
34-84040
File Number:
3-18721
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Release No.
34-84041
File Number:
3-18722
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Release No.
34-84042
File Number:
3-18723
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Release No.
34-84022, AAER-3965
File Number:
3-18711
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Release No.
34-84023, AAER-3966
File Number:
3-18712
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Release No.
34-84024, AAER-3967
File Number:
3-18713
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Release No.
34-84025
File Number:
3-18714
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Release No.
34-84026
File Number:
3-18716
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Release No.
34-84027
File Number:
3-18716
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Release No.
34-84028
File Number:
3-18717
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Release No.
34-84029
File Number:
3-18718
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Release No.
34-84017, AAER-3964
File Number:
3-18708
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Release No.
34-84030
File Number:
3-18719
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Release No.
34-84018
File Number:
3-18709
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Release No.
34-84019
File Number:
3-18710
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Release No.
IA-4999
File Number:
3-18704
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Release No.
34-84014
File Number:
3-18705
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Release No.
34-84015
File Number:
3-18706
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Release No.
34-84016
File Number:
3-18707
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Release No.
34-84010, AAER-3963
File Number:
3-18703
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Release No.
34-83996
File Number:
3-15134
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Release No.
34-83997
File Number:
3-11940
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Release No.
34-83998
File Number:
3-18473
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Release No.
34-83999
See Also:
Distribution Plan
File Number:
3-17899, 3-17900
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Release No.
34-84004
File Number:
3-18473
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Release No.
34-84005
File Number:
3-18699
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Release No.
34-84006
File Number:
3-18700
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Release No.
34-84007
File Number:
3-18701
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Release No.
34-84008
File Number:
3-18702
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Release No.
34-83981
File Number:
3-18693
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Release No.
34-83984
File Number:
3-18694
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Release No.
34-83985
File Number:
3-18695
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Release No.
33-10540, 34-83986
File Number:
3-17398
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Release No.
33-10541, 34-83987
File Number:
3-17398
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Release No.
34-83989
File Number:
3-18696
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Release No.
34-83991
File Number:
3-18697
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Release No.
34-83993, AAER-3962
File Number:
3-18698
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Release No.
34-83966
File Number:
3-18689
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Release No.
34-83977
File Number:
3-18690
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Release No.
34-83978
File Number:
3-18691
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Release No.
34-83980
File Number:
3-18692
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Release No.
34-83965
File Number:
3-18688
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Release No.
33-10539, 34-83947, IA-4996, IC-33215
File Number:
3-18681
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Release No.
IA-4997
File Number:
3-18682
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Release No.
34-83963
File Number:
3-18687
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Release No.
IA-4998
File Number:
3-18683
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Release No.
34-83948, AAER-3961
File Number:
3-18684
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Release No.
34-83956
File Number:
3-18404
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Release No.
34-83957
File Number:
3-18685
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Release No.
34-83962
File Number:
3-18686
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Release No.
34-83931
File Number:
3-18670
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Release No.
34-83932
File Number:
3-18671
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Release No.
34-83933
File Number:
3-18672
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Release No.
34-83934, IA-4995
File Number:
3-18673
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Release No.
34-83939
File Number:
3-18674
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Release No.
34-83942
File Number:
3-18675
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Release No.
34-83943
File Number:
3-18676
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Release No.
34-83944
File Number:
3-18677
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Release No.
34-83945
File Number:
3-18678
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Release No.
34-83946
File Number:
3-18679
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Release No.
34-83914
File Number:
3-18324
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Release No.
34-83915
File Number:
3-12540
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Release No.
34-83920
File Number:
3-18664
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Release No.
34-83921
File Number:
3-18666
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Release No.
34-83922
File Number:
3-18667
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Release No.
34-83924
File Number:
3-18668
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Release No.
34-83930
File Number:
3-18669
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Release No.
34-83901
File Number:
3-18658
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Release No.
34-83902
File Number:
3-18659
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Release No.
34-83903
File Number:
3-18660
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Release No.
34-83905
File Number:
3-18662
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