Administrative Proceedings
Please read the Commission’s October 1, 2025 order staying pending administrative proceedings.
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.
34-90836
See Also:
Proposed Plan of Distribution
File Number:
3-16753, 3-16754
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Release No.
34-90828
File Number:
3-20193
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Release No.
34-90813
File Number:
3-20191
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Release No.
34-90789
File Number:
3-20189
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Release No.
34-90790, IA-5657
See Also:
Administrative Summary
File Number:
3-20190
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Release No.
33-10914, 33-10915
See Also:
Administrative Summary
,
Waiver Order Rel. No. 33-10915
File Number:
3-20188
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Release No.
33-10912, IA-5655, IC-34148
File Number:
3-20186
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Release No.
34-90784
File Number:
3-19927
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Release No.
34-90783
See Also:
Administrative Summary
File Number:
3-20187
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Release No.
33-10908
See Also:
Administrative Summary
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Release No.
34-90751, IA-5652
File Number:
3-20184
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Release No.
33-10909
File Number:
3-20185
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Release No.
34-90740
See Also:
Administrative Summary
File Number:
3-20181
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Release No.
34-90741
See Also:
Administrative Summary
File Number:
3-20182
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Release No.
34-90745, IA-5651
See Also:
Administrative Summary
File Number:
3-20183
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Release No.
34-90724, IA-5649
File Number:
3-20178
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Release No.
34-90725, IA-5650
File Number:
3-20179
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Release No.
34-90727
See Also:
Administrative Summary
File Number:
3-20177
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Release No.
34-90700
File Number:
3-20003
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Release No.
34-90715
File Number:
3-20174
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Release No.
33-10907, 34-90714, AAER-4199
See Also:
Administrative Summary
File Number:
3-20175
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Release No.
34-90716, AAER-4200
See Also:
Administrative Summary
File Number:
3-20176
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Release No.
33-10906, 34-90694
File Number:
3-20171
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Release No.
34-90696, AAER-4197
File Number:
3-20172
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Release No.
34-90699, AAER-4198
See Also:
Administrative Summary
File Number:
3-20173
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Release No.
34-90681
See Also:
Administrative Summary
File Number:
3-20170
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Release No.
34-90692
File Number:
3-19841
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Release No.
IA-5647
File Number:
3-20168
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Release No.
33-10903, 34-90664, AAER-4196
See Also:
Administrative Summary
File Number:
3-20169
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Release No.
34-90625
File Number:
3-19597
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Release No.
34-90628, IC-34135
File Number:
3-20166
|
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Release No.
34-90630, AAER-4195
See Also:
Administrative Summary
File Number:
3-20167
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Release No.
IA-5643
File Number:
3-20164
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Release No.
33-10899, 34-90620, AAER-4194
File Number:
3-20165
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Release No.
33-10896, IA-5642
File Number:
3-20162
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Release No.
33-10897, 34-90598
See Also:
Administrative Summary
File Number:
3-20163
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Release No.
34-90576
File Number:
3-20092
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Release No.
34-90585, IA-5640
See Also:
Administrative Summary
File Number:
3-20161
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Release No.
34-90565
File Number:
3-20158
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Release No.
34-90564
File Number:
3-20157
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Release No.
34-90566, IA-5639
File Number:
3-20159
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Release No.
34-90545
File Number:
3-19816
|
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Release No.
34-90508, IA-5634
File Number:
3-20156
|
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Release No.
34-90483
See Also:
Distribution Plan
File Number:
3-19715
|
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Release No.
34-90487
File Number:
3-16575
|
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Release No.
34-90489
File Number:
3-20034
|
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Release No.
34-90491
File Number:
3-20043
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Release No.
34-90493
File Number:
3-20155
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Release No.
34-90465
File Number:
3-18843
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Release No.
34-90451
File Number:
3-16389
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Release No.
34-90453
File Number:
3-17978
|
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Release No.
34-90436
File Number:
3-19428
|
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Release No.
IA-5626
File Number:
3-20149
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Release No.
IA-5627
File Number:
3-20150
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Release No.
34-90411, IA-5628
File Number:
3-20151
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Release No.
IA-5629
File Number:
3-20152
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Release No.
34-90413, IA-5630
File Number:
3-20153
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Release No.
33-10887
File Number:
3-20148
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Release No.
34-90374
File Number:
3-20147
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Release No.
34-90377
File Number:
3-20038
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Release No.
34-90369, AAER-4193
File Number:
3-20145
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Release No.
34-90370
File Number:
3-20146
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Release No.
34-90373
File Number:
3-19927
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Release No.
34-90347
File Number:
3-17212
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Release No.
34-90348
File Number:
3-20097
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Release No.
34-90349
File Number:
3-15124
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Release No.
34-90358, IA-5623
File Number:
3-20142
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Release No.
34-90360
File Number:
3-20143
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Release No.
34-90361, IA-5625
File Number:
3-20144
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Release No.
34-90345
File Number:
3-19984
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Release No.
34-90325
File Number:
3-19970
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Release No.
34-90313
File Number:
3-19927, 3-19928
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Release No.
34-90295
File Number:
3-20141
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Release No.
34-90285
File Number:
3-19597
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Release No.
34-90281, AAER-4192
File Number:
3-20140
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Release No.
IA-5620
File Number:
3-20139
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Release No.
IA-5621
File Number:
3-14676
|
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Release No.
33-10878
File Number:
3-20137
|
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Release No.
34-90268
File Number:
3-20138
|
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Release No.
34-90243, AAER-4191
See Also:
Press Release No. 2020-265
File Number:
3-20132
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Release No.
IA-5617
See Also:
Administrative Summary
File Number:
3-20133
|
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Release No.
IA-5618
File Number:
3-20134
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Release No.
34-90258
File Number:
3-20135
|
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Release No.
34-90259
File Number:
3-20136
|
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Release No.
34-90254
File Number:
3-20046
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Release No.
34-90236
File Number:
3-20128
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Release No.
34-90237
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Release No.
34-90238
File Number:
3-20129
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Release No.
34-90239
File Number:
3-20130
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Release No.
34-90221
File Number:
3-20079
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Release No.
34-90187
File Number:
3-19334
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Release No.
34-90188
See Also:
Distribution Plan
File Number:
3-16786
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Release No.
34-90208, AAER-4190
File Number:
3-20125
|
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Release No.
34-90199
File Number:
3-19842
|
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Release No.
34-90167, AAER-4187
File Number:
3-20122
|
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Release No.
34-90168, AAER-4188
File Number:
3-20123
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Release No.
34-90166, AAER-4186
File Number:
3-20121
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Release No.
34-90170, AAER-4189
File Number:
3-20124
|
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Release No.
34-90175
File Number:
3-19960
|
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Release No.
34-90149
File Number:
3-20104
|