Breadcrumb

Administrative Proceedings

The list below provides links to opinions and orders concerning both litigated and settled administrative proceedings instituted by the Commission.

The links below direct you to the docket pages for adjudicatory proceedings – meaning administrative proceedings adjudicated by the Commission including by its consideration of initial decisions of ALJ and appeals from SRO or PCAOB action – as well as to docket pages for respondents’ requests to vacate bars under Koch v. SEC or Bartko v. SEC. The docket pages contain the Commission opinions and orders as well as significant pleadings for such matters.

Date Sort ascending Respondents
Release No. 34-97907
File Number: 3-21529
Release No. 34-97906
File Number: 3-21528
Release No. 34-97886, IA-6345
File Number: 3-21527
Release No. 34-97878
File Number: 3-21526
Release No. IA-6341
File Number: 3-21523
Release No. IA-6343
File Number: 3-21525
Release No. 34-97874
File Number: 3-21181
Release No. 34-97872
File Number: 3-21524
Release No. 34-97856
See Also: Distribution Plan
File Number: 3-17673
Release No. 34-97855
File Number: 3-20003
Release No. 34-97854
See Also: Distribution Plan
File Number: 3-19831
Release No. 34-97852
File Number: 3-21520
Release No. 34-97858
File Number: 3-21521
Release No. 34-97859
File Number: 3-21522
Release No. 34-97845
File Number: 3-21517
Release No. 34-97847
File Number: 3-21519
Release No. 34-97835, AAER-4427
File Number: 3-21513
Release No. 34-97834
File Number: 3-21512
Release No. 33-11210, 34-97837, AAER-4429
File Number: 3-21515
Release No. 33-11209, 34-97836, AAER-4428
File Number: 3-21514
Release No. 33-11206, 34-97829, AAER-4425
File Number: 3-21511
Release No. 33-11208, 34-97830
Release No. 34-97828
File Number: 3-21509
Release No. 34-97827
File Number: 3-21508
Release No. 34-97819
File Number: 3-20981
Release No. 34-97818
File Number: 3-17582, 3-17628
Release No. 34-97820
File Number: 3-21504
Release No. 34-97802
File Number: 3-20881
Release No. 34-97811
File Number: 3-20932
Release No. 34-97801
Comments Due:

30 days from date of this Notice

Comments received are available: 3-20393
File Number: 3-20393
Release No. 34-97787
File Number: 3-21502
Release No. 34-97775
File Number: 3-21465
Release No. IA-6333
File Number: 3-21501
Release No. 34-97774
File Number: 3-20963
Release No. 34-97773, AAER-4423
File Number: 3-21500
Release No. IA-6332
File Number: 3-21499
Release No. 34-97761, AAER-4422
File Number: 3-21497
Release No. 34-97760, AAER-4421
File Number: 3-21498
Release No. 34-97757, AAER-4420
File Number: 3-21496,
Release No. 34-97756
File Number: 3-21495
Release No. 34-97755, IA-6331
File Number: 3-21494
Release No. IA-6330
File Number: 3-21493
Release No. 34-97740, AAER-4419
File Number: 3-21491
Release No. IA-6329, IC-34943
File Number: 3-21490
Release No. IA-6328
File Number: 3-21489
Release No. 34-97729
File Number: 3-17212
Release No. 34-97697
File Number: 3-21488
Release No. 33-11204
File Number: 3-20801
Release No. 34-97685, AAER-4418
File Number: 3-21486
Release No. 34-97676
File Number: 3-21376
Release No. 33-11203, 34-97677
File Number: 3-21485
Release No. 34-97670
File Number: 3-21484
Release No. 34-97668
File Number: 3-20060
Release No. 34-97660
File Number: 3-21087
Release No. 34-97655
File Number: 3-21015
Release No. 33-11202, 34-97651, AAER-4417
File Number: 3-21483
Release No. 33-11201, 34-97650, AAER-4416
File Number: 3-21482
Release No. 33-11200, 34-97649, AAER-4415
File Number: 3-21481
Release No. 34-97646
File Number: 3-20881, 3-20882
Release No. 34-97638
File Number: 3-21478
Release No. 34-97637
File Number: 3-21477
Release No. IA-6320, AAER-4412
File Number: 3-21476
Release No. IA-6319
File Number: 3-21475
Release No. 34-97636
File Number: 3-19991
Release No. 34-97632
File Number: 3-21181
Release No. 34-97631
File Number: 3-21474
Release No. 34-97625
Comments Due:

30 days from date of this Notice

File Number: 3-19831
Release No. 34-97622, IA-6318
File Number: 3-21473
Release No. 34-97616
File Number: 3-21375
Release No. 34-97611
File Number: 3-21472
Release No. 34-97610
File Number: 3-21471
Release No. 34-97609, AAER-4411
File Number: 3-21470
Release No. 34-97608
File Number: 3-21469
Release No. 34-97607
File Number: 3-21468
Release No. 34-97594
File Number: 3-21467
Release No. 34-97593
File Number: 3-21466
Release No. 34-97592
File Number: 3-21465
Release No. 34-97589
File Number: 3-21464
Release No. 34-97588
File Number: 3-21463
Release No. 34-97583
File Number: 3-21462
Release No. 34-97582
File Number: 3-21461
Release No. 34-97576
File Number: 3-21460
Release No. 34-97575
File Number: 3-21459
Release No. 34-97571
File Number: 3-21458
Release No. 34-97570
File Number: 3-21457
Release No. 34-97569
File Number: 3-21456
Release No. 34-97568
File Number: 3-21455
Release No. 34-97567
File Number: 3-21454
Release No. 34-97566
File Number: 3-21453
Release No. 34-97564
File Number: 3-21450
Release No. 34-97563
File Number: 3-21449
Release No. 34-97562
File Number: 3-21448
Release No. 34-97561
File Number: 3-21447
Release No. 34-97560
File Number: 3-21446
Release No. 34-97565
File Number: 3-21452
Release No. IA-6315
File Number: 3-21445
Release No. 34-97554
File Number: 3-21444
Release No. 34-97553
File Number: 3-21443
Release No. 34-97552
File Number: 3-21442
Release No. 34-97551
File Number: 3-21441