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.
Administrative Proceedings Table
Respondents
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|
---|---|
Date: |
Respondents:
Release No.
IA-6491
See Also:
Administrative Summary
File Number:
3-21807
|
Date: |
Respondents:
Release No.
33-11256, 34-99058
See Also:
Administrative Summary
File Number:
3-21806
|
Date: |
Respondents:
Release No.
34-99055
File Number:
3-21602
|
Date: |
Respondents:
Release No.
34-99054
File Number:
3-21295
|
Date: |
Respondents:
Release No.
34-99038
File Number:
3-21181
|
Date: |
Respondents:
Release No.
34-99039
File Number:
3-21761
|
Date: |
Respondents:
Release No.
33-11255, 34-99033, AAER-4475
File Number:
3-18020
|
Date: |
Respondents:
Release No.
34-99016
See Also:
Plan of Distribution
File Number:
3-20060
|
Date: |
Respondents:
Release No.
34-99010
File Number:
3-20252, 3-20253
|
Date: |
Respondents:
Release No.
34-99004
File Number:
3-21803
|
Date: |
Respondents:
Release No.
34-99006, IA-6489
File Number:
3-21804
|
Date: |
Respondents:
Release No.
IA-6487
File Number:
3-21303
|
Date: |
Respondents:
Release No.
IA-6486
File Number:
3-21802
|
Date: |
Respondents:
Release No.
34-98992
File Number:
3-20671
|
Date: |
Respondents:
Release No.
34-98983
See Also:
Administrative Summary
File Number:
3-21800
|
Date: |
Respondents:
Release No.
34-98984
See Also:
Administrative Summary
File Number:
3-21801
|
Date: |
Respondents:
Release No.
34-98971
|
Date: |
Respondents:
Release No.
34-98940
See Also:
Plan of Distribution
File Number:
3-17808, 3-17809
|
Date: |
Respondents:
Release No.
34-98939
File Number:
3-19494
|
Date: |
Respondents:
Release No.
IA-6483
File Number:
3-21798
|
Date: |
Respondents:
Release No.
34-98936
See Also:
Plan of Disribution
File Number:
3-20932
|
Date: |
Respondents:
Release No.
34-98923
File Number:
3-21797
|
Date: |
Respondents:
Release No.
34-98922
File Number:
3-20963
|
Date: |
Respondents:
Release No.
34-98918
File Number:
3-21181
|
Date: |
Respondents:
Release No.
34-98916
File Number:
3-21602
|
Date: |
Respondents:
Release No.
34-98914
File Number:
3-21610
|
Date: |
Respondents:
Release No.
IA-6481
File Number:
3-21795
|
Date: |
Respondents:
Release No.
34-98890, IA-6480
File Number:
3-21794
|
Date: |
Respondents:
Release No.
34-98871
File Number:
3-21721
|
Date: |
Respondents:
Release No.
34-98870
File Number:
3-21690
|
Date: |
Respondents:
Release No.
34-98851
File Number:
3-21655
|
Date: |
Respondents:
Release No.
34-98849, AAER-4473
File Number:
3-21792
|
Date: |
Respondents:
Release No.
34-98844
File Number:
3-20163
|
Date: |
Respondents:
Release No.
34-98840, IA-6474
File Number:
3-21791
|
Date: |
Respondents:
Release No.
34-98827
File Number:
3-21790
|
Date: |
Respondents:
Release No.
34-98824
See Also:
Administrative Summary
File Number:
3-21789
|
Date: |
Respondents:
Release No.
34-98823
File Number:
3-21788
|
Date: |
Respondents:
Release No.
34-98804
File Number:
3-20252
|
Date: |
Respondents:
Release No.
34-98803
File Number:
3-21585
|
Date: |
Respondents:
Release No.
IA-6470
File Number:
3-21787
|
Date: |
Respondents:
Release No.
IA-6468, IC-35035
File Number:
3-21786
|
Date: |
Respondents:
Release No.
34-98786
File Number:
3-21466
|
Date: |
Respondents:
Release No.
34-98788, AAER-4472
File Number:
3-21785
|
Date: |
Respondents:
Release No.
34-98779, AAER-4471
File Number:
3-21784
|
Date: |
Respondents:
Release No.
34-98773
File Number:
3-21394
|
Date: |
Respondents:
Release No.
34-98774
File Number:
3-21716
|
Date: |
Respondents:
Release No.
34-98776
File Number:
3-21722
|
Date: |
Respondents:
Release No.
34-98775
See Also:
Administrative Summary
File Number:
3-21783
|
Date: |
Respondents:
Release No.
34-98763
File Number:
3-19734
|
Date: |
Respondents:
Release No.
34-98762
See Also:
Proposed Plan of Distribution
Submit Comments on:
Notice of Proposed Plan of Distribution and Opportunity for Comment
File Number:
3-20526
|
Date: |
Respondents:
Release No.
34-98750
File Number:
3-21457
|
Date: |
Respondents:
Release No.
34-98735
See Also:
Proposed Plan of Distribution
Comments Due:
Thirty (30) days from the date of this Notice
Submit Comments on:
Notice of Proposed Plan of Distribution and Opportunity for Comment
File Number:
3-21140
|
Date: |
Respondents:
Release No.
IA-6460
File Number:
3-21278
|
Date: |
Respondents:
Release No.
34-98723
File Number:
3-21446
|
Date: |
Respondents:
Release No.
IA-6457, IC-35031
See Also:
Administrative Summary
File Number:
3-21782
|
Date: |
Respondents:
Release No.
34-98716, IA-6456
File Number:
3-21781
|
Date: |
Respondents:
Release No.
IA-6455
See Also:
Administrative Summary
File Number:
3-21780
|
Date: |
Respondents:
Release No.
34-98714
See Also:
Plan of Distribution
File Number:
3-20880
|
Date: |
Respondents:
Release No.
34-98705
File Number:
3-21535
|
Date: |
Respondents:
Release No.
34-98694
File Number:
3-21461
|
Date: |
Respondents:
Release No.
34-98669, IA-6453
File Number:
3-21778
|
Date: |
Respondents:
Release No.
34-98667, AAER-4470
File Number:
3-21777
|
Date: |
Respondents:
Release No.
IA-6451
See Also:
Administrative Summary
File Number:
3-21774
|
Date: |
Respondents:
Release No.
34-98641, IA-6452
File Number:
3-21775
|
Date: |
Respondents:
Release No.
IA-6450
See Also:
Administrative Summary
File Number:
3-21771
|
Date: |
Respondents:
Release No.
34-98608
File Number:
3-21751
|
Date: |
Respondents:
Release No.
IA-6439
File Number:
3-21752
|
Date: |
Respondents:
Release No.
34-98633
File Number:
3-21770
|
Date: |
Respondents:
Release No.
34-98632, IA-6449
File Number:
3-21769
|
Date: |
Respondents:
Release No.
34-98631, IA-6448
File Number:
3-21768
|
Date: |
Respondents:
Release No.
34-98630
File Number:
3-21767
|
Date: |
Respondents:
Release No.
34-98627, IA-6447
File Number:
3-21765
|
Date: |
Respondents:
Release No.
34-98626, IA-6446
File Number:
3-21764
|
Date: |
Respondents:
Release No.
34-98605
See Also:
Administrative Summary
File Number:
3-21749
|
Date: |
Respondents:
Release No.
34-98654
File Number:
3-21776
|
Date: |
Respondents:
Release No.
34-98638
File Number:
3-21773
|
Date: |
Respondents:
Release No.
34-98636
File Number:
3-21772
|
Date: |
Respondents:
Release No.
33-11251, 34-98629, AAER-4469
File Number:
3-21766
|
Date: |
Respondents:
Release No.
34-98622, AAER-4468
File Number:
3-21763
|
Date: |
Respondents:
Release No.
33-11247, 34-98612
File Number:
3-21748
|
Date: |
Respondents:
Release No.
IA-6444
See Also:
Administrative Summary
File Number:
3-21760
|
Date: |
Respondents:
Release No.
IA-6443
See Also:
Administrative Summary
File Number:
3-21759
|
Date: |
Respondents:
Release No.
IA-6442
See Also:
Administrative Summary
File Number:
3-21758
|
Date: |
Respondents:
Release No.
IA-6441
See Also:
Administrative Summary
File Number:
3-21757
|
Date: |
Respondents:
Release No.
34-98619
See Also:
Administrative Summary
File Number:
3-21762
|
Date: |
Respondents:
Release No.
IA-6445
File Number:
3-21756
|
Date: |
Respondents:
Release No.
IA-6438, AAER-4464
See Also:
Administrative Summary
File Number:
3-21750
|
Date: |
Respondents:
Release No.
IA-6437
See Also:
Administrative Summary
File Number:
3-21747
|
Date: |
Respondents:
Release No.
33-11248, 34-98616, AAER-4467
File Number:
3-21761
|
Date: |
Respondents:
Release No.
34-98609, IA-6440
See Also:
Administrative Summary
File Number:
3-21753
|
Date: |
Respondents:
Release No.
34-98611, AAER-4465
File Number:
3-21754
|
Date: |
Respondents:
Release No.
34-98615, AAER-4466
File Number:
3-21755
|
Date: |
Respondents:
Release No.
34-98600
File Number:
3-20945
|
Date: |
Respondents:
Release No.
34-98595, AAER-4463
File Number:
3-21746
|
Date: |
Respondents:
Release No.
34-98594
See Also:
Plan of Distribution
File Number:
3-20881
|
Date: |
Respondents:
Release No.
33-11245, 34-98577, AAER-4462
File Number:
3-21745
|
Date: |
Respondents:
Release No.
33-11244, 34-98575
See Also:
Administrative Summary
File Number:
3-21743
|
Date: |
Respondents:
Release No.
33-11243, 34-98574
See Also:
Administrative Summary
File Number:
3-21741
|
Date: |
Respondents:
Release No.
34-98576
File Number:
3-21744
|
Date: |
Respondents:
Release No.
34-98569
File Number:
3-17582
|
Thirty (30) days from the date of this Notice