Administrative Proceedings
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
The list below provides 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.
| Date Sort descending | Respondents |
|---|---|
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Release No.
34-93882
File Number:
3-20692
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Release No.
34-93884, AAER-4278
File Number:
3-20693
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Release No.
34-93871
File Number:
3-20162
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Release No.
34-93872
See Also:
Proposed Distribution Plan
Comments Due:
30 days from date of this Notice
Comments received are available:
https://www.sec.gov/comments/3-17614/3-17614.htm
Submit Comments on:
3-17614
File Number:
3-17614
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Release No.
34-93874
See Also:
Proposed Distribution Plan
Comments Due:
30 days from date of this Notice
Submit Comments on:
3-20089
File Number:
3-20089
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Release No.
34-93875
File Number:
3-15635
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Release No.
34-93877
File Number:
3-20691
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Release No.
34-93878
File Number:
3-20523
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Release No.
34-93879
File Number:
3-19991
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Release No.
34-93861
File Number:
3-20690
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Release No.
33-11020, 34-93858, IA-5935, IC-34447
See Also:
Administrative Summary
File Number:
3-20689
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Release No.
33-11018, 34-93838
File Number:
3-20687
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Release No.
33-11019, IA-5934
See Also:
Administrative Summary
File Number:
3-20688
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Release No.
IA-5930
File Number:
3-20683
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Release No.
IA-5931
File Number:
3-20684
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Release No.
34-93832
File Number:
3-20686
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Release No.
IA-5932
See Also:
Administrative Summary
File Number:
3-20685
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Release No.
34-93807
File Number:
3-20681
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Release No.
34-93805, IA-5928
File Number:
3-20680
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Release No.
33-11015, 34-93794, IA-5927
File Number:
3-20679
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Release No.
34-93781, IA-5926
File Number:
3-20678
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Release No.
IA-5924
File Number:
3-20677
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Release No.
34-93753, AAER-4275
See Also:
Administrative Summary
File Number:
3-20676
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Release No.
34-93766
File Number:
3-20480
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Release No.
IA-5920
File Number:
3-20670
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Release No.
34-93749, AAER-4271
See Also:
Administrative Summary
File Number:
3-20671
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Release No.
34-93750, AAER-4272
See Also:
Administrative Summary
File Number:
3-20672
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Release No.
34-93751, AAER-4273
See Also:
Administrative Summary
File Number:
3-20673
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Release No.
34-93752, AAER-4274
See Also:
Administrative Summary
File Number:
3-20674
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Release No.
33-11012, IA-5921
File Number:
3-20675
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Release No.
34-93725
File Number:
3-20669
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Release No.
33-11011, 34-93717
See Also:
Administrative Summary
File Number:
3-20668
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Release No.
34-93703
File Number:
3-20523
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Release No.
34-93704
File Number:
3-16776
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Release No.
34-93706
File Number:
3-19494
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Release No.
34-93707
File Number:
3-18423
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Release No.
34-93708
File Number:
3-20612
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Release No.
34-93711
File Number:
3-20003
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Release No.
34-93712, IA-5917
File Number:
3-20666
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Release No.
IA-5918
File Number:
3-20667
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Release No.
34-93682, AAER-4270
File Number:
3-17107
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Release No.
33-11010, IA-5914, IC-34423
See Also:
Administrative Summary
File Number:
3-20664
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Release No.
34-93667
File Number:
3-20612
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Release No.
34-93650
File Number:
3-20663
|
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Release No.
34-93663
See Also:
Distribution Plan
File Number:
3-20092
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Release No.
34-93664
See Also:
Proposed Distribution Plan
File Number:
3-16877
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Release No.
34-93666
File Number:
3-20537
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Release No.
34-93634
File Number:
3-20455
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Release No.
IA-5913
File Number:
3-20660
|
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Release No.
33-11008, 34-93645, AAER-4268
File Number:
3-20661
|
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Release No.
34-93647, AAER-4269
File Number:
3-20658
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Release No.
34-93619
File Number:
3-20659
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Release No.
IA-5912
File Number:
3-20656
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Release No.
34-93617
See Also:
Administrative Summary
File Number:
3-20657
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Release No.
34-93605
File Number:
3-20654
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Release No.
34-93607
File Number:
3-20185
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Release No.
IA-5911
File Number:
3-20655
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Release No.
34-93599
File Number:
3-20653
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Release No.
34-93579
See Also:
Proposed Distribution Plan
Comments Due:
30 days from the date of this Notice
Submit Comments on:
3-20163
File Number:
3-20163
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Release No.
IA-5909
File Number:
3-19331
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Release No.
34-93585
File Number:
3-20532
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Release No.
34-93568, AAER-4267
File Number:
3-20652
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Release No.
34-93548, AAER-4266
File Number:
3-20649
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Release No.
34-93551
File Number:
3-20650
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|
Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA
Release No.
34-93544, AAER-4265
File Number:
3-18292
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Release No.
33-11006
File Number:
3-20648
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Release No.
34-93535
File Number:
3-20502
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Release No.
34-93529
File Number:
3-20645
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Release No.
33-11004, 34-93503
See Also:
Administrative Summary
File Number:
3-20644
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Release No.
34-93507
File Number:
3-20378
|
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Release No.
34-93508
See Also:
Proposed Distribution Plan
Comments Due:
30 days from the date of this Notice
Comments received are available:
https://www.sec.gov/comments/3-20162/3-20162.htm
Submit Comments on:
3-20162
File Number:
3-20162
|
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Release No.
34-93509
File Number:
3-20310
|
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Release No.
34-93502
File Number:
3-20642
|
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Release No.
34-93487
File Number:
3-20567
|
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Release No.
34-93494
File Number:
3-20641
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Release No.
IA-5900
File Number:
3-20640
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Release No.
34-93458
File Number:
3-20638
|
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Release No.
34-93470
File Number:
3-20348
|
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Release No.
IA-5898
File Number:
3-20635
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Release No.
34-93446
File Number:
3-20470
|
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Release No.
34-93456
File Number:
3-20637
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Release No.
34-93425
See Also:
Distribution Plan
File Number:
3-15124
|
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Release No.
IA-5895
File Number:
3-20632
|
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Release No.
IA-5893
File Number:
3-20630
|
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Release No.
33-11001, 34-93382
File Number:
3-20629
|
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Release No.
34-93385
File Number:
3-20555
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Release No.
34-93387
File Number:
3-20517
|
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Release No.
33-11000
File Number:
3-20628
|
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Release No.
34-93373
File Number:
3-20381
|
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Release No.
34-93375
File Number:
3-20381
|
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Release No.
34-93341, AAER-4264
See Also:
Administrative Summary
File Number:
3-20624
|
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Release No.
34-93351
File Number:
3-20626
|
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Release No.
IA-5888
File Number:
3-20625
|
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Release No.
33-10999
File Number:
3-20627
|
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|
Release No.
34-93315
See Also:
Cease and Desist Order
File Number:
3-20089
|
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Release No.
34-93317
File Number:
3-17614
|
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Release No.
34-93320
File Number:
3-19991
|
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Release No.
34-93321
File Number:
3-19991
|
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Release No.
34-93327
File Number:
3-20408
|
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Release No.
34-93313
File Number:
3-20537
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