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.
34-83262
File Number:
3-18489
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Release No.
34-83264
File Number:
3-18490
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Release No.
34-83251
File Number:
3-18486
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Release No.
34-83266
File Number:
3-18327
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Release No.
34-83249
File Number:
3-18485
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Release No.
33-10495, 33-83235, IC-33096
File Number:
3-18482
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Release No.
33-10496, 33-83236, IC-33097
File Number:
3-18483
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Release No.
34-83234
File Number:
3-18481
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Release No.
34-83245
File Number:
3-18484
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Release No.
34-83232
File Number:
3-18480
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Release No.
34-83215
File Number:
3-18479
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Release No.
IA-4911
File Number:
3-18477
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Release No.
34-83212
File Number:
3-18478
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Release No.
34-83213
File Number:
3-17316
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Release No.
34-83191, IC-33093
File Number:
3-18476
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Release No.
33-10494, 34-83186, IA-4909
File Number:
3-18473
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Release No.
IA-4910
File Number:
3-18474
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Release No.
34-83189
File Number:
3-18475
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Release No.
34-83178, IA-4908
File Number:
3-18470
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Release No.
34-83179
File Number:
3-16203
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Release No.
34-83180
File Number:
3-18471
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Release No.
34-83184
File Number:
3-18472
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Release No.
34-83168, IA-4906, AAER-3939
File Number:
3-18466
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Release No.
34-83169, AAER-3940 , AAER-3940
File Number:
3-16819
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Release No.
34-83170, AAER-3941
File Number:
3-12263
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Release No.
33-10492, 34-83171
File Number:
3-18467
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Release No.
34-83172
File Number:
3-16554
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Release No.
34-83173, IA-4907
File Number:
3-18468
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Release No.
34-83176
File Number:
3-18469
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Release No.
34-83162
See Also:
Proposed Distribution Plan
Comments Due:
30 days from date of this Notice
Submit Comments on:
3-17315
File Number:
3-17315
|
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Release No.
34-83164, IA-4905
File Number:
3-18165
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Release No.
34-83151
File Number:
3-18465
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Release No.
IA-4903
File Number:
3-18464
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Release No.
34-83140, IA-4901
File Number:
3-18463
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Release No.
34-83130
File Number:
3-18460
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Release No.
34-83128, AAER-3938
File Number:
3-18459
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Release No.
34-83131
See Also:
Proposed Plan of Distribution
Comments Due:
30 days from date of this Notice
Comments received are available:
https://www.sec.gov/comments/3-17300/3-17300.htm
Submit Comments on:
3-17300
File Number:
3-17300
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Release No.
34-83133
See Also:
Proposed Distribution Plan
Comments Due:
30 days from date of this Notice
Submit Comments on:
3-17791
File Number:
3-17791, 3-17792, 3-17793, 3-17794
|
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Release No.
34-83135
File Number:
3-18461
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Release No.
34-83136
File Number:
3-18462
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Release No.
34-83123
See Also:
Distribution Plan
File Number:
3-16757
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Release No.
IA-4900
File Number:
3-18417
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Release No.
IA-4898
File Number:
3-18454
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Release No.
34-83110
File Number:
3-18456
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Release No.
34-83111, IA-4899
File Number:
3-18455
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Release No.
IC-33087
File Number:
3-18457
|
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Release No.
34-83121
File Number:
3-18458
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Release No.
33-10489, 34-83109
File Number:
3-18453
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Release No.
34-83099
File Number:
3-18450
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Release No.
33-10487, 34-83107
File Number:
3-18451
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Release No.
33-10488, 34-83108
File Number:
3-18452
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Release No.
33-10485, 34-83096, AAER-3937
File Number:
3-18448
|
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Release No.
IA-4896
See Also:
Administrative Summary
File Number:
3-18449
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Release No.
34-83087
File Number:
3-18445
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Release No.
34-83088, AAER-3936
See Also:
Administrative Summary
File Number:
3-18446
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Release No.
IA-4894
File Number:
3-18447
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Release No.
34-83090
File Number:
3-18421
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Release No.
IA-4895
File Number:
3-18127
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Release No.
34-83095
File Number:
3-18336
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Release No.
IA-4890
File Number:
3-18443
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Release No.
34-83078, IA-4892
File Number:
3-18444
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Release No.
34-83067, AAER-3935
See Also:
Administrative Summary
File Number:
3-18442
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Release No.
34-83068
File Number:
3-18171
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Release No.
34-83069
File Number:
3-18348
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Release No.
34-83070
File Number:
3-18348
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Release No.
34-83056, IA-4886
File Number:
3-18440
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Release No.
IA-4885
File Number:
3-18437
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Release No.
34-83053
File Number:
3-18439
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Release No.
34-83052
File Number:
3-18438
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Release No.
IA-4884
File Number:
3-18361
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Release No.
33-10480, 34-83034, IC-33072
File Number:
3-18434
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Release No.
33-10481, 34-83035
File Number:
3-18435
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Release No.
33-10482, 34-83036, AAER-3934
File Number:
3-18436
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Release No.
34-83030, IA-4883
File Number:
3-18433
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Release No.
34-83011
File Number:
3-18175, 3-18236
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Release No.
33-10478, 34-83017, AAER-3933
File Number:
3-18431
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Release No.
34-83013, IA-4882
File Number:
3-18430
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Release No.
34-83023
File Number:
3-18221
|
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Release No.
IA-4879
File Number:
3-18427
|
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Release No.
IA-4880
File Number:
3-18428
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Release No.
34-83003, IA-4877
File Number:
3-18425
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Release No.
34-83004, IA-4878
File Number:
3-18426
|
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Release No.
34-83009, IA-4881
File Number:
3-18429
|
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Release No.
IA-4876
File Number:
3-18424
|
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Release No.
IA-4875, IC-33067
See Also:
Administrative Summary
File Number:
3-18423
|
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Release No.
34-82998, IA-4874
File Number:
3-18422
|
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Release No.
34-82987
File Number:
3-18421
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Release No.
34-82986
File Number:
3-18419
|
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Release No.
34-82977
File Number:
3-18418
|
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Release No.
34-82972
File Number:
3-17212
|
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Release No.
34-82963
File Number:
3-18415
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Release No.
IA-4870
File Number:
3-18417
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Release No.
34-82957
File Number:
3-81413
|
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Release No.
34-82958
File Number:
3-18414
|
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Release No.
34-82956
File Number:
3-18412
|
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Release No.
33-10472, 34-82950, AAER-3932
File Number:
3-18408
|
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Release No.
34-82951
See Also:
Administrative Summary
File Number:
3-18409
|
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Release No.
34-82953
File Number:
3-18410
|
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Release No.
34-82954
File Number:
3-18411
|
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Release No.
34-82946, AAER-3930
File Number:
3-18407
|