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