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. The links below additionally direct you to the electronic filing system for administrative proceedings and to information for respondents in administrative proceedings.

Date Sort ascending Respondents
Release No. 34-79703
File Number: 3-17755
Release No. 34-79704
File Number: 3-17756
Release No. 34-79708
File Number: 3-17757
Release No. 34-79702, AAER-3840
File Number: 3-17754
Release No. 34-79691, AAER-3838
File Number: 3-9135
Release No. 34-79692
File Number: 3-17747
Release No. 34-79695
File Number: 3-17750
Release No. 34-79698, AAER-3839
File Number: 3-17753
Release No. IA-4594
File Number: 3-17751
Release No. 34-79693
File Number: 3-17748
Release No. 34-79694
File Number: 3-17749
Release No. 34-79680
File Number: 3-17683
Release No. 34-79681
File Number: 3-17698
Release No. 34-79689, IA-4593
File Number: 3-17372
Release No. IA-4592
File Number: 3-12837
Release No. 34-79656
File Number: 3-17743
Release No. 34-79657
File Number: 3-17744
Release No. 34-79668, AAER-3836
File Number: 3-17745
Release No. 34-79669, AAER-3837
File Number: 3-17746
Release No. 34-79653
File Number: 3-17659
Release No. 34-79629
File Number: 3-17518
Release No. 34-79630
File Number: 3-17564
Release No. 34-79631
File Number: 3-17123
Release No. 34-79627
File Number: 3-17570
Release No. 34-79628
File Number: 3-17590
Release No. 34-79633
File Number: 3-17543
Release No. 34-79634
File Number: 3-17519
Release No. 34-79650, AAER-3835
File Number: 3-17742
Release No. 34-79632
File Number: 3-17513
Release No. 34-79625
File Number: 3-17525
Release No. IA-4591, IC-32397
File Number: 3-17740
Release No. 34-79606
File Number: 3-17737
Release No. 34-79607
File Number: 3-17739
Release No. 34-79602
File Number: 3-17070
Release No. 33-10274, 34-79605
File Number: 3-15619
Release No. 34-79588
File Number: 3-17680
Release No. 34-79593
File Number: 3-17736
Release No. 34-79601
File Number: 3-17070
Release No. 33-10272, 34-79576, IA-4590, 33-10273
File Number: 3-17730
Release No. 33-10267, 34-79571
File Number: 3-17726
Release No. 34-79578
File Number: 3-17731
Release No. 33-10268, 34-79573
File Number: 3-17727
Release No. 34-79579
File Number: 3-17732
Release No. 33-10269, 34-79574
File Number: 3-17728
Release No. 33-10270, 34-79575
File Number: 3-17729
Release No. 34-79581
File Number: 3-17735
Release No. 34-79580
File Number: 3-17733
Release No. 34-79567
File Number: 3-17724
Release No. 34-79568, IA-4588, IC-32394
File Number: 3-17217
Release No. 34-79569
File Number: 3-17632
Release No. IA-4589
File Number: 3-17725
Release No. 34-79566
File Number: 3-17723
Release No. IA-4587
File Number: 3-17722
Release No. 34-79553
File Number: 3-13675
Release No. 34-79542
File Number: 3-17721
Release No. 34-79529
File Number: 3-17719
Release No. IC-32390
File Number: 3-17720
Release No. 34-79521, IA-4586, IC-32388
File Number: 3-17718
Release No. 34-79522
File Number: 3-16175
Release No. 34-79508
File Number: 3-17682
Release No. 34-79511
File Number: 3-16829
Release No. 34-79512
File Number: 3-17717
Release No. 34-79505
File Number: 3-17715
Release No. 34-79513
File Number: 3-16846
Release No. 33-10264, 34-79507, IC-32383
File Number: 3-17716
Release No. IA-4584, IC-32380
File Number: 3-17713
Release No. 34-79503, IA-4585
File Number: 3-17714
Release No. 34-79489
File Number: 3-17712
Release No. 34-79490
File Number: 3-17519
Release No. 34-79471
File Number: 3-17374
Release No. 34-79472
File Number: 3-17514
Release No. 33-10262, 34-79481
File Number: 3-17708
Release No. 34-79483, AAER-3834
File Number: 3-17709
Release No. 34-79470
File Number: 3-17383
Release No. 34-79484
File Number: 3-17710
Release No. 34-79487
File Number: 3-17711
Release No. 34-79463
File Number: 3-17615
Release No. 34-79460
File Number: 3-17706
Release No. 34-79461
File Number: 3-17707
Release No. 34-79452
File Number: 3-17683
Release No. 34-79453, IA-4582
File Number: 3-17704
Release No. 34-79454, AAER-3833
File Number: 3-17705
Release No. 34-79451
File Number: 3-17703
Release No. 34-79440
File Number: 3-14854
Release No. IA-4577, IC-32376
File Number: 3-17701
Release No. 34-79449
File Number: 3-16877
Release No. 34-79434
File Number: 3-17700
Release No. 34-79418
File Number: 3-17375
Release No. 34-79419
File Number: 3-17381
Release No. 34-79414
File Number: 3-17350
Release No. IA-4575
File Number: 3-17699
Release No. 34-79415
File Number: 3-17366
Release No. 34-79427
File Number: 3-16652
Release No. 34-79417
File Number: 3-17698
Release No. IA-4574
File Number: 3-16937
Release No. 34-79395, AAER-3830
File Number: 3-13190
Release No. 34-79396, AAER-3831
File Number: 3-15358
Release No. 34-79397, AAER-3832
File Number: 3-13952
Release No. 34-79393, AAER-3828
File Number: 3-14044
Release No. 33-10259
File Number: 3-17697