Administrative Proceedings
Between October 1, 2025, and November 12, 2025, the Commission experienced a lapse in appropriations. In light of the lapse, the Commission issued an order staying administrative proceedings. On November 13, 2025, the Commission issued an order lifting the stay and extending dates in the proceedings previously subject to the stay.
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.
IA-1544
File Number:
3-8904
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Release No.
34-36642
File Number:
3-8903
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Release No.
34-36641
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Release No.
34-36608
File Number:
3-8900
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Release No.
34-36614
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Release No.
IA-1541
|
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Release No.
34-36560
File Number:
3-8891
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Release No.
34-36561
File Number:
3-8892
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Release No.
34-36553
File Number:
3-8836
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Release No.
34-36554
File Number:
3-8780
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Release No.
7244;34-36519;3-8886
File Number:
3-8886
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Release No.
7245;34-36520;3-8887
File Number:
3-8887
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Release No.
IA-1538
File Number:
3-8884
|
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Release No.
34-36471
File Number:
3-8615
|
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Release No.
34-36463
File Number:
3-8708
|
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Release No.
IA-1534
File Number:
3-8881
|
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Release No.
34-36459
File Number:
3-8880
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Release No.
34-36454
File Number:
3-8878
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Release No.
33-7239
File Number:
3-8877
|
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Release No.
IC-1533
File Number:
3-8874
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Release No.
34-36438
File Number:
3-8875
|
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Release No.
34-36446
File Number:
3-8876
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Release No.
34-36433
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Release No.
34-36419
File Number:
3-8872
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Release No.
34-36408
File Number:
3-8790
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Release No.
34-36382
File Number:
3-8867
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Release No.
34-36366
|
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Release No.
34-36357
File Number:
3-8866
|
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Release No.
34-36338
File Number:
3-8865
|
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Release No.
34-36333
File Number:
3-8863
|
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Release No.
34-36334
File Number:
3-8864
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Release No.
34-36247;3-8818
File Number:
3-8818
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