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.
34-82933
File Number:
3-17791, 3-17792, 3-17793, 3-17794
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Release No.
34-82902
File Number:
3-16877
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Release No.
34-82898
File Number:
3-18406
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Release No.
34-82893
File Number:
3-18405
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Release No.
34-82880
File Number:
3-18404
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Release No.
34-82882
File Number:
3-11676
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Release No.
34-82877
File Number:
3-18403
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Release No.
34-82859, AAER-3926
File Number:
3-18399
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Release No.
34-82860, AAER-3927
File Number:
3-18400
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Release No.
34-82861, AAER-3928
File Number:
3-18401
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Release No.
34-82862, AAER-3929
File Number:
3-18402
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Release No.
33-10469
See Also:
Administrative Summary
File Number:
3-18398
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Release No.
34-82838
File Number:
3-18394
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Release No.
34-82839
File Number:
3-18395
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Release No.
34-82849, AAER-3925
See Also:
Administrative Summary
File Number:
3-18397
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Release No.
34-82840
File Number:
3-18396
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Release No.
33-10465, 34-82826, 33-10466
See Also:
Release No. 33-10466
File Number:
3-18392
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Release No.
34-82835
File Number:
3-16877
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Release No.
34-82837, IA-4868
File Number:
3-18393
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Release No.
34-82821
File Number:
3-18391
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Release No.
34-82818, IA-4865
File Number:
3-18389
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Release No.
IA-4866
File Number:
3-18390
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Release No.
34-82816, IA-4864, IC-33039
File Number:
3-18387
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Release No.
33-10463, 34-82808
File Number:
3-18388
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Release No.
34-82805
File Number:
3-18384
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Release No.
IA-4863
File Number:
3-18385
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Release No.
34-82806
File Number:
3-18386
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Release No.
IA-4861
File Number:
3-18380
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Release No.
33-10462, 34-82792, IA-4862
File Number:
3-18381
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Release No.
34-82783
File Number:
3-17212
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Release No.
33-10461, 34-82773, IA-4859, IC-33034
File Number:
3-17157
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Release No.
34-82767, IA-4858
File Number:
3-18379
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Release No.
34-82768
File Number:
3-17672
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Release No.
34-82762
See Also:
Chinese Version
File Number:
3-18378
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Release No.
34-82764
File Number:
3-18333
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Release No.
IA-4857
File Number:
3-18377
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Release No.
34-82743
File Number:
3-18375
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Release No.
34-82744, AAER-3924
File Number:
3-18376
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Release No.
34-82745
File Number:
3-17315
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Release No.
34-82742
File Number:
3-18326
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Release No.
34-82736, AAER-3922
File Number:
3-18374
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Release No.
33-10458
File Number:
3-18373
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Release No.
34-82722
File Number:
3-17899, 3-17900
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Release No.
34-82717
File Number:
3-18353
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Release No.
34-82718
File Number:
3-18152
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Release No.
34-82710, AAER-3920
File Number:
3-18372
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Release No.
34-82711
File Number:
3-18175, 3-18236
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Release No.
34-82695
File Number:
3-18339
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Release No.
34-82703
File Number:
3-18371
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Release No.
34-82707
File Number:
3-18336
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Release No.
34-82686
File Number:
3-18367
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Release No.
34-82688
File Number:
3-18368
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Release No.
34-82691
File Number:
3-18369
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Release No.
34-82694
File Number:
3-18370
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Release No.
34-82680
File Number:
3-16757
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Release No.
34-82681, IA-4856
File Number:
3-18366
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Release No.
34-82677
See Also:
Distribution Plan
File Number:
3-15211
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Release No.
34-82668, IA-4855
File Number:
3-18364
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Release No.
IA-4853
File Number:
3-18361
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Release No.
IA-4854, IC-33004
File Number:
3-11530
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Release No.
34-82651
File Number:
3-18363
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Release No.
34-82634, IC-33001
See Also:
Administrative Summary
File Number:
3-17902
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Release No.
34-82639
File Number:
3-18360
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Release No.
34-82630, IA-4852
See Also:
Administrative Summary
,
and Waiver Order
File Number:
3-18357
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Release No.
34-82632
File Number:
3-18358
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Release No.
34-82624
File Number:
3-18356
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Release No.
34-82610
File Number:
3-18353
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Release No.
34-82619
File Number:
3-18354
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Release No.
34-82621
File Number:
3-18355
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Release No.
IA-4851
File Number:
3-18352
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Release No.
34-82603
File Number:
3-18351
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Release No.
34-82605
File Number:
3-18326
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Release No.
34-82595
File Number:
3-17899, 3-17900
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Release No.
34-82590
File Number:
3-17740
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Release No.
33-10454, IA-4848
See Also:
Administrative Summary
File Number:
3-18349
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Release No.
IA-4847
File Number:
3-18348
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Release No.
34-82556, AAER-3918
File Number:
3-18346
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Release No.
34-82557, AAER-3919
File Number:
3-18347
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Release No.
34-82539, IA-4846
File Number:
3-18343
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Release No.
34-82554, AAER-3917
File Number:
3-18344
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Release No.
34-82527
File Number:
3-18339
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Release No.
34-82528, IA-4845
File Number:
3-18340
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Release No.
34-82533
See Also:
Administrative Summary
File Number:
3-18341
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Release No.
34-82535
File Number:
3-16786
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Release No.
34-82536
File Number:
3-18342
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Release No.
34-82510
File Number:
3-18338
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Release No.
34-82511
File Number:
3-18338
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Release No.
34-82525
File Number:
3-18326
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Release No.
34-82507
File Number:
3-18336
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Release No.
34-82509, IA-4844
File Number:
3-18337
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Release No.
34-82485, IA-4843
See Also:
Administrative Summary
File Number:
3-18335
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Release No.
33-10452
File Number:
3-18334
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Release No.
34-82453, IA-4840
File Number:
3-18331
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Release No.
34-82454, IA-4841
File Number:
3-18332
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Release No.
34-82463
File Number:
3-18333
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Release No.
34-82443
File Number:
3-18330
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Release No.
IA-4836, IC-32958
See Also:
Administrative Summary
File Number:
3-18328
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Release No.
34-82438, IA-4837
File Number:
3-18329
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Release No.
34-82419
File Number:
3-18327
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Release No.
34-82410
File Number:
3-17791
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