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. 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
| Date Sort ascending | Respondents |
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Release No.
34-101101
File Number:
3-22146
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Release No.
IA-6709, IC-35325
File Number:
3-22144
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Release No.
IA-6710, IC-35326
File Number:
3-22145
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Release No.
33-11306, 34-101075
File Number:
3-22143
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Release No.
34-101072
See Also:
Proposed Plan of Distribution
Submit Comments on:
Notice of Proposed Plan of Distribution and Opportunity for Comment
File Number:
3-21602
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Release No.
34-101071, IA-6708
File Number:
3-22142
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Release No.
IA-6701
See Also:
Administrative Summary
File Number:
3-22141
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Release No.
34-101069
File Number:
3-21717
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Release No.
34-101068
File Number:
3-21816
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Release No.
34-101067
See Also:
Proposed Plan of Distribution
Comments Due:
October 17, 2024
Submit Comments on:
Comscore, Inc. and Serge Matta
File Number:
3-19499, 3-19500
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Release No.
34-101066
File Number:
3-16398
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Release No.
34-101063, IA-6707
File Number:
3-22140
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Release No.
34-101062, IA-6706
File Number:
3-22139
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Release No.
34-101061, IA-6705
File Number:
3-22138
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Release No.
34-101060
File Number:
3-22137
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Release No.
34-101059, IA-6704
File Number:
3-22136
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Release No.
34-101058, IA-6703
File Number:
3-22135
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Release No.
34-101057, IA-6702
File Number:
3-22134
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Release No.
34-101056
File Number:
3-22133
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Release No.
34-101055
File Number:
3-22131
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Release No.
34-101054, IA-6699
File Number:
3-22130
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Release No.
34-101053, IA-6698
File Number:
3-22129
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Release No.
34-101049
See Also:
Administrative Summary
File Number:
3-22132
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Release No.
34-101048
File Number:
3-22128
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Release No.
34-101047
File Number:
3-22127
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Release No.
34-101046
File Number:
3-22126
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Release No.
34-101045
File Number:
3-22125
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Release No.
34-101044
File Number:
3-22124
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Release No.
34-101043
File Number:
3-22123
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Release No.
34-101042
File Number:
3-22122
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Release No.
34-101041
File Number:
3-22121
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Release No.
34-101040
File Number:
3-22120
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Release No.
34-101039
File Number:
3-22119
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Release No.
34-101038
File Number:
3-22118
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Release No.
IA-6695
File Number:
3-22115
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Release No.
34-101037
File Number:
3-22117
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Release No.
34-101035, IC-35323
See Also:
Administrative Summary
File Number:
3-22113
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Release No.
34-101033
File Number:
3-19704
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Release No.
34-101032
File Number:
3-20881, 3-20882
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Release No.
34-101031
See Also:
Proposed Plan of Distribution
Comments Due:
Oct. 16, 2024
Submit Comments on:
Notice of Proposed Plan of Distribution and Opportunity for Comment
File Number:
3-18561, 3-18562, 3-18563
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Release No.
34-101030
File Number:
3-16786
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Release No.
34-101028
File Number:
3-21585
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Release No.
IA-6696, IC-35324
See Also:
Administrative Summary
File Number:
3-22116
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Release No.
33-11305
See Also:
Administrative Summary
File Number:
3-22114
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Release No.
33-11303
File Number:
3-22112
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Release No.
33-11302, 34-101014, AAER-4519
See Also:
Administrative Summary
File Number:
3-22111
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Release No.
IA-6694
File Number:
3-22110
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Release No.
34-101008
File Number:
3-22109
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Release No.
34-101007
File Number:
3-22108
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Release No.
34-101006
File Number:
3-22107
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Release No.
34-101001
File Number:
3-22106
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Release No.
34-101000
File Number:
3-22017
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Release No.
IA-6692
See Also:
Administrative Summary
File Number:
3-22105
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Release No.
IA-6691, AAER-4517
See Also:
Administrative Summary
File Number:
3-22104
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Release No.
IA-6690
File Number:
3-22103
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Release No.
34-100984, AAER-4518
File Number:
3-22102
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Release No.
34-100983
File Number:
3-22100
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Release No.
IA-6688
See Also:
Administrative Summary
File Number:
3-22101
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Release No.
IA-6687
File Number:
3-22098
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Release No.
IA-6686
File Number:
3-22097
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Release No.
IA-6685
File Number:
3-22096
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Release No.
IA-6684
File Number:
3-22095
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Release No.
IA-6683
File Number:
3-22094
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Release No.
IA-6682
File Number:
3-22093
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Release No.
IA-6681
File Number:
3-22092
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Release No.
IA-6680
File Number:
3-22091
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Release No.
IA-6679
File Number:
3-22090
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Release No.
IA-6678
File Number:
3-22089
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Release No.
34-100979
See Also:
Administrative Summary
File Number:
3-22088
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Release No.
34-100978
See Also:
Administrative Summary
File Number:
3-22087
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Release No.
34-100977
See Also:
Administrative Summary
File Number:
3-22086
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Release No.
34-100976
File Number:
3-22085
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Release No.
34-100975
File Number:
3-22084
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Release No.
34-100974
File Number:
3-22083
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Release No.
34-100973
File Number:
3-22082
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Release No.
34-100972
File Number:
3-22081
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Release No.
34-100971
File Number:
3-22080
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Release No.
34-100970
File Number:
3-22079
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Release No.
34-100969
File Number:
3-22078
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Release No.
34-100957
File Number:
3-22077
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Release No.
34-100955
File Number:
3-22076
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Release No.
IA-6676
See Also:
Administrative Summary
File Number:
3-22075
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Release No.
34-100934
File Number:
3-22074
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Release No.
34-100933
File Number:
3-22073
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Release No.
34-100932
File Number:
3-22072
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Release No.
34-100931
File Number:
3-22071
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Release No.
34-100925
File Number:
3-22070
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Release No.
34-100923
File Number:
3-22069
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Release No.
34-100922
File Number:
3-22068
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Release No.
34-100921
File Number:
3-22067
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Release No.
IA-6675
File Number:
3-22066
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Release No.
34-100917, AAER-4515
See Also:
Administrative Summary
File Number:
3-22065
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Release No.
34-100916
File Number:
3-22064;
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Release No.
34-100915
File Number:
3-22063
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Release No.
34-100914
File Number:
3-22062
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Release No.
34-100913
File Number:
3-22061
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Release No.
34-100912
File Number:
3-22060
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Release No.
34-100911
File Number:
3-22059
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Release No.
34-100910
File Number:
3-22058
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Release No.
34-100909
File Number:
3-22057
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Oct. 18, 2024