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.
34-81450
File Number:
3-17884
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Release No.
34-81430
File Number:
3-18119
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Release No.
34-81425
File Number:
3-18117
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Release No.
34-81426
File Number:
3-18116
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Release No.
34-81441
File Number:
3-16353
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Release No.
33-10401, 34-81427
File Number:
3-18118
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Release No.
34-81416
File Number:
3-15471
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Release No.
34-81417, IA-4748
File Number:
3-18115
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Release No.
34-81421
File Number:
3-18092
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Release No.
34-81423
File Number:
3-18100
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Release No.
34-81424
File Number:
3-18079
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Release No.
34-81412
File Number:
3-18083
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Release No.
IA-4746
See Also:
Administrative Summary
File Number:
3-18113
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Release No.
IA-4747
File Number:
3-18114
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Release No.
34-81396, AAER-3888
File Number:
3-18110
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Release No.
34-81405, IA-4745, IC-32783
File Number:
3-16463
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Release No.
IA-4744, IC-32782
File Number:
3-18112, 3-16463
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Release No.
34-81397, AAER-3889
File Number:
3-18111
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Release No.
34-81385
File Number:
3-16175
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Release No.
IA-4743
File Number:
3-18109
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Release No.
34-81394
File Number:
3-18083
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Release No.
34-81395
File Number:
3-18083
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Release No.
34-81383
File Number:
3-15507
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Release No.
34-81380, IA-4742
File Number:
3-17681
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Release No.
34-81375
File Number:
3-18107
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Release No.
34-81377
File Number:
3-18083
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Release No.
34-81378
File Number:
3-18095
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Release No.
34-81356
File Number:
3-18106
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Release No.
34-81329, IA-4740
File Number:
3-18101
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Release No.
34-81330, IA-4741
File Number:
3-18102
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Release No.
34-81331
File Number:
3-18103
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Release No.
34-81333
File Number:
3-18104
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Release No.
34-81335
File Number:
3-18105
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Release No.
34-81319
File Number:
3-18100
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Release No.
IA-4739, IC-32776
File Number:
3-18099
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Release No.
34-81307
File Number:
3-14167
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Release No.
34-81308, IC-32773
File Number:
3-18098
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Release No.
34-81313
File Number:
3-18077
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Release No.
33-10397, 34-81285
File Number:
3-18093
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Release No.
34-81287
File Number:
3-14993
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Release No.
34-81295
File Number:
3-18095
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Release No.
34-81297
File Number:
3-18004
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Release No.
34-81298
File Number:
3-18096
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Release No.
34-81300
File Number:
3-18097
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Release No.
34-81279, IA-4737
File Number:
3-18090
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Release No.
33-10395, 34-81276, IC-32772
File Number:
3-18088
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Release No.
33-10396, 34-81277, AAER-3886
File Number:
3-18089
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Release No.
34-81274, IA-4736
See Also:
Administrative Summary
File Number:
3-18087
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Release No.
34-81281
File Number:
3-18091
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Release No.
34-81283
File Number:
3-18092
|
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Release No.
34-81273
File Number:
3-17794
|
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Release No.
33-10393, 34-81258
File Number:
3-18085
|
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Release No.
33-10394, 34-81259
File Number:
3-18086
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Release No.
34-81257
File Number:
3-17791
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Release No.
34-81271
File Number:
3-17792
|
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Release No.
34-81272
File Number:
3-17793
|
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Release No.
33-10392, 34-81254
See Also:
Administrative Summary
File Number:
3-17813
|
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Release No.
IA-4734
See Also:
Administrative Summary
File Number:
3-18084
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Release No.
34-81222, AAER-3884
File Number:
3-18080
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Release No.
34-81235
File Number:
3-18081
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Release No.
34-81237
File Number:
3-18082
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Release No.
34-81239
File Number:
3-18083
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Release No.
34-81241
File Number:
3-17894
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Release No.
34-81242
File Number:
3-17868
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Release No.
34-81243
File Number:
3-17882
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Release No.
34-81244
File Number:
3-16776
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Release No.
34-81209
File Number:
3-18074
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Release No.
34-81210
File Number:
3-18075
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Release No.
34-81214
File Number:
3-18076
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Release No.
34-81221
File Number:
3-15081
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Release No.
34-81216
File Number:
3-18077
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Release No.
34-81217
File Number:
3-18078
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Release No.
34-81219
File Number:
3-18079
|
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Release No.
33-10391, 34-81202
See Also:
Administrative Summary
File Number:
3-18072
|
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Release No.
IA-4733, IC-32741
File Number:
3-18073
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Release No.
34-81169, IA-4730
See Also:
Administrative Summary
File Number:
3-18068
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Release No.
34-81173, IA-4731, IC-32737, AAER-3883
See Also:
Administrative Summary
File Number:
3-18071
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Release No.
34-81172
File Number:
3-18070
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Release No.
34-81160
See Also:
Administrative Summary
File Number:
3-18067
|
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Release No.
34-81154
File Number:
3-16941
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Release No.
IA-4729
File Number:
3-18066
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Release No.
34-81135
File Number:
3-17906
|
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Release No.
34-81141
File Number:
3-17315
|
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Release No.
34-81124
File Number:
3-17998
|
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Release No.
34-81125
File Number:
3-17859
|
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Release No.
34-81126
File Number:
3-17858
|
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Release No.
34-81127
File Number:
3-17886
|
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Release No.
IA-4727
File Number:
3-18065
|
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Release No.
34-81111, IA-4728
File Number:
3-14676
|
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Release No.
34-81100
See Also:
Plan of Distribution
File Number:
3-16846
|
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Release No.
34-81101
File Number:
3-18064
|
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Release No.
IA-4725
File Number:
3-18059
|
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Release No.
IA-4726
See Also:
Administrative Summary
File Number:
3-18060
|
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Release No.
34-81086
File Number:
3-12737
|
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Release No.
33-10386, 34-81087, IC-32728
See Also:
Administrative Summary
File Number:
3-18061
|
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Release No.
33-10387, 34-81088
See Also:
Administrative Summary
File Number:
3-18062
|
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Release No.
33-10388, 34-81089
See Also:
Administrative Summary
File Number:
3-18063
|
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Release No.
34-81082
File Number:
3-18058
|
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Release No.
34-81057
|
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Release No.
34-81064
File Number:
3-11292
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