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.
34-81658
File Number:
3-18190
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Release No.
34-81660
File Number:
3-18096
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Release No.
34-81656
File Number:
3-18189
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Release No.
34-81643
File Number:
3-18185
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Release No.
34-81645
File Number:
3-18186
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Release No.
34-81647
File Number:
3-18187
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Release No.
34-81649
File Number:
3-18188
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Release No.
33-10414, 34-81636, IA-4770, IC-32819
See Also:
Administrative Summary
File Number:
3-18183
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Release No.
34-81637, IA-4771
File Number:
3-18184
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Release No.
34-81631
File Number:
3-18182
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Release No.
34-81627
File Number:
3-18114
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Release No.
34-81611, IA-4769
File Number:
3-18178
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Release No.
34-81618
File Number:
3-18179
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Release No.
34-81619, AAER-3896
File Number:
3-18181
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Release No.
34-81633
File Number:
3-17809
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Release No.
34-81620
File Number:
3-17791
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Release No.
34-81622
File Number:
3-17792
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Release No.
34-81623
File Number:
3-17794
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Release No.
34-81624
File Number:
3-17793
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Release No.
34-81621
File Number:
3-18141
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Release No.
34-81625
File Number:
3-18180
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Release No.
34-81634
File Number:
3-17808
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Release No.
34-81593
File Number:
3-18175
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Release No.
34-81607
File Number:
3-18176
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Release No.
34-81609
File Number:
3-18177
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Release No.
34-81584, IA-4767, IC-32815
See Also:
Administrative Summary
File Number:
3-18171
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Release No.
34-81585, IA-4768, IC-32816
See Also:
Administrative Summary
File Number:
3-18172
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Release No.
34-81587
File Number:
3-18173
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Release No.
34-81589
File Number:
3-18174
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Release No.
34-81564, IA-4765
File Number:
3-18165
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Release No.
34-81571
File Number:
3-15654
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Release No.
34-81570
See Also:
Proposed Plan of Distribution
Comments Due:
30 days from date of this Notice
Comments received are available:
https://www.sec.gov/comments/3-16757/3-16757.htm
File Number:
3-16757
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Release No.
IA-4766
File Number:
3-18168
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Release No.
34-81575
File Number:
3-18169
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Release No.
34-81577
File Number:
3-18170
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Release No.
34-81565
File Number:
3-18166
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Release No.
34-81566
File Number:
3-18167
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Release No.
34-81557, IA-4763
File Number:
3-18163
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Release No.
34-81559, AAER-3895
File Number:
3-12818
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Release No.
IA-4764
File Number:
3-18164
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Release No.
34-81563
File Number:
3-17935
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Release No.
34-81544, AAER-3893
File Number:
3-18161
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Release No.
34-81546, AAER-3894
File Number:
3-13832
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Release No.
34-81551
File Number:
3-18162
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Release No.
34-81552
File Number:
3-18007
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Release No.
34-81553
File Number:
3-17865
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Release No.
33-10410
File Number:
3-18158
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Release No.
33-10411, 34-81543
File Number:
3-18159
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Release No.
34-81542, AAER-3892
File Number:
3-18160
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Release No.
34-81534, IA-4762
File Number:
3-18154
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Release No.
34-81535
File Number:
3-18156
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Release No.
34-81536
File Number:
3-18155
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Release No.
34-81540
File Number:
3-18157
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Release No.
34-81523
File Number:
3-18147
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Release No.
34-81524
File Number:
3-18148
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Release No.
34-81525
File Number:
3-18149
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Release No.
34-81527
File Number:
3-18151
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Release No.
34-81529
File Number:
3-18152
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Release No.
34-81533
File Number:
3-18153
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Release No.
34-81522
File Number:
3-18146
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Release No.
34-81521
File Number:
3-17313
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Release No.
34-81513
File Number:
3-11538
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Release No.
34-81514
File Number:
3-11645
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Release No.
34-81518
File Number:
3-18077
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Release No.
34-81519
File Number:
3-18078
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Release No.
34-81508
File Number:
3-17928
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Release No.
34-81509
File Number:
3-17897
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Release No.
34-81489
See Also:
Chinese Version
File Number:
3-18141
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Release No.
34-81492
File Number:
3-18142
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Release No.
34-81477
File Number:
3-16776
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Release No.
34-81475, IA-4758
See Also:
Administrative Summary
File Number:
3-18139
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Release No.
34-81480
File Number:
3-18140
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Release No.
34-81465
File Number:
3-18133
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Release No.
34-81466
File Number:
3-18136
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Release No.
34-81467
File Number:
3-18137
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Release No.
34-81471, IA-4756, IC-32794
File Number:
3-17878
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Release No.
34-81472, IA-4757, IC-32795
File Number:
3-17839
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Release No.
34-81473
File Number:
3-18023
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Release No.
33-10405, 34-81462, IC-32789
File Number:
3-18131
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Release No.
33-10406
File Number:
3-18132
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Release No.
34-81463
File Number:
3-18134
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Release No.
34-81464
File Number:
3-18135
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Release No.
34-81459
File Number:
3-18128
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Release No.
34-81460, IA-4754
File Number:
3-18129
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Release No.
34-81461, IA-4755
File Number:
3-18130
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Release No.
33-10404, 34-81456, IA-4751, IC-32788
See Also:
Administrative Summary
File Number:
3-18125
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Release No.
IA-4753
File Number:
3-18127
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Release No.
34-81451, AAER-3890
File Number:
3-18122
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Release No.
34-81452, AAER-3891
File Number:
3-18123
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Release No.
34-81455
File Number:
3-18124
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Release No.
34-81458, IA-4752
File Number:
3-18126
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Release No.
34-81450
File Number:
3-17884
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Release No.
IA-4749
File Number:
3-18120
|
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Release No.
34-81443
See Also:
Administrative Summary
File Number:
3-16649
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Release No.
34-81444
File Number:
3-12400
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Release No.
34-81445
File Number:
3-17614
|
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Release No.
34-81447
File Number:
3-18121
|
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Release No.
34-81449
See Also:
Proposed Plan of Distribution
Comments Due:
30 days from date of this Notice
Submit Comments on:
3-16175
File Number:
3-16175
|
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Release No.
33-10401, 34-81427
File Number:
3-18118
|
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Release No.
34-81430
File Number:
3-18119
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