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.
Administrative Proceedings Table
Respondents
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|
---|---|
Date: |
Respondents:
Release No.
IA-3656
File Number:
3-15444
|
Date: |
Respondents:
Release No.
34-70261
File Number:
3-15214
|
Date: |
Respondents:
Release No.
34-70262
File Number:
3-15388
|
Date: |
Respondents:
Release No.
34-70265
File Number:
3-15441
|
Date: |
Respondents:
Release No.
34-70266
File Number:
3-15442
|
Date: |
Respondents:
Release No.
34-70267
File Number:
3-15443
|
Date: |
Respondents:
Release No.
34-70254
File Number:
3-15439
|
Date: |
Respondents:
Release No.
34-70252
File Number:
3-15438
|
Date: |
Respondents:
Release No.
34-70239, IA-3653, IC-30655
File Number:
3-15433
|
Date: |
Respondents:
Release No.
34-70240
File Number:
3-15434
|
Date: |
Respondents:
Release No.
34-70243
File Number:
3-15436
|
Date: |
Respondents:
Release No.
34-70244
File Number:
3-14909
|
Date: |
Respondents:
Release No.
IA-3654
File Number:
3-15435
|
Date: |
Respondents:
Release No.
34-70233
File Number:
3-15378
|
Date: |
Respondents:
Release No.
33-9443, 34-70234, IA-3652, IC-30652
File Number:
3-15430, 3-15430-rtv
|
Date: |
Respondents:
Release No.
34-70238
File Number:
3-15431
|
Date: |
Respondents:
Release No.
34-70226
File Number:
3-15379
|
Date: |
Respondents:
Release No.
33-9442, 34-70223, IA-3651, IC-30651
File Number:
3-15429
|
Date: |
Respondents:
Release No.
34-70219
File Number:
3-15427
|
Date: |
Respondents:
Release No.
34-70221
File Number:
3-15428
|
Date: |
Respondents:
Release No.
34-70222
See Also:
Modified Plan of Distribution
File Number:
3-13847
|
Date: |
Respondents:
Release No.
34-70202
File Number:
3-15404
|
Date: |
Respondents:
Release No.
34-70203
File Number:
3-15422
|
Date: |
Respondents:
Release No.
34-70205, IA-3648
File Number:
3-15423
|
Date: |
Respondents:
Release No.
34-70208
File Number:
3-11246
|
Date: |
Respondents:
Release No.
IA-3649
File Number:
3-15424
|
Date: |
Respondents:
Release No.
34-70214
File Number:
3-15425
|
Date: |
Respondents:
Release No.
34-70215, IA-3650
File Number:
3-15426
|
Date: |
Respondents:
Release No.
34-70177
File Number:
3-15415
|
Date: |
Respondents:
Release No.
34-70179
File Number:
3-15416
|
Date: |
Respondents:
Release No.
34-70181
File Number:
3-15417
|
Date: |
Respondents:
Release No.
34-70183
File Number:
3-15418
|
Date: |
Respondents:
Release No.
34-70185
File Number:
3-15419
|
Date: |
Respondents:
Release No.
34-70187
File Number:
3-15420
|
Date: |
Respondents:
Release No.
34-70188
File Number:
3-15421
|
Date: |
Respondents:
Release No.
33-9440, 34-70165, IA-3647
File Number:
3-15413
|
Date: |
Respondents:
Release No.
34-70167
File Number:
3-15414
|
Date: |
Respondents:
Release No.
34-70171
File Number:
3-13714
|
Date: |
Respondents:
Release No.
34-70172
File Number:
3-99230
|
Date: |
Respondents:
Release No.
34-70156
File Number:
3-15387
|
Date: |
Respondents:
Release No.
34-70157
File Number:
3-15386
|
Date: |
Respondents:
Release No.
34-70161, IA-3646, IC-30649
File Number:
3-15268
|
Date: |
Respondents:
Release No.
34-70164
File Number:
3-15412
|
Date: |
Respondents:
Release No.
34-70151
File Number:
3-12372
|
Date: |
Respondents:
Release No.
34-70152
File Number:
3-15273
|
Date: |
Respondents:
Release No.
34-70153
File Number:
3-15274
|
Date: |
Respondents:
Release No.
34-70154
File Number:
3-15411
|
Date: |
Respondents:
Release No.
34-70133
File Number:
3-15387
|
Date: |
Respondents:
Release No.
34-70128
File Number:
3-15371
|
Date: |
Respondents:
Release No.
33-9438, 34-70121, IA-3643, 33-9439
See Also:
Release No. 33-9439
File Number:
3-15407
|
Date: |
Respondents:
Release No.
34-70125, IA-3644
File Number:
3-15408
|
Date: |
Respondents:
Release No.
34-70126, IA-3645, IC-30642
File Number:
3-15409
|
Date: |
Respondents:
Release No.
34-70127
File Number:
3-15410
|
Date: |
Respondents:
Release No.
IA-3642
File Number:
3-15406
|
Date: |
Respondents:
Release No.
34-70094
File Number:
3-15404
|
Date: |
Respondents:
Release No.
34-70105, IA-3641
File Number:
3-15405
|
Date: |
Respondents:
Release No.
IA-3640
File Number:
3-15402
|
Date: |
Respondents:
Release No.
34-70077
File Number:
3-15328
|
Date: |
Respondents:
Release No.
34-70078
File Number:
3-15355
|
Date: |
Respondents:
Release No.
34-70079
File Number:
3-15396
|
Date: |
Respondents:
Release No.
34-70080
File Number:
3-15397
|
Date: |
Respondents:
Release No.
34-70081
File Number:
3-15398
|
Date: |
Respondents:
Release No.
34-70083, IA-3638
File Number:
3-15400
|
Date: |
Respondents:
Release No.
34-70089, 33-9436
See Also:
Release No. 33-9436
File Number:
3-15399
|
Date: |
Respondents:
Release No.
33-9437, 34-70086, IA-3639
File Number:
3-15401
|
Date: |
Respondents:
Release No.
34-70082
File Number:
3-11818
|
Date: |
Respondents:
Release No.
34-70088
File Number:
3-15403
|
Date: |
Respondents:
Release No.
34-70074, AAER-3473
File Number:
3-15395
|
Date: |
Respondents:
Release No.
34-70054
File Number:
3-15326
|
Date: |
Respondents:
Release No.
33-9434, 34-70056, IC-30632
File Number:
3-15390
|
Date: |
Respondents:
Release No.
33-9435, IC-70057
File Number:
3-15391
|
Date: |
Respondents:
Release No.
IA-3636
File Number:
3-15393
|
Date: |
Respondents:
Release No.
34-70058, IA-3635, IC-30633
File Number:
3-15392
|
Date: |
Respondents:
Release No.
34-70042
File Number:
3-15389
|
Date: |
Respondents:
Release No.
34-70043
File Number:
3-15134, 3-15135
|
Date: |
Respondents:
Release No.
34-70035
File Number:
3-15368
|
Date: |
Respondents:
Release No.
34-70032
File Number:
3-15360
|
Date: |
Respondents:
Release No.
34-70033
File Number:
3-15363
|
Date: |
Respondents:
Release No.
34-70034
File Number:
3-15158
|
Date: |
Respondents:
Release No.
34-70018
File Number:
3-15384
|
Date: |
Respondents:
Release No.
34-70019
File Number:
3-15385
|
Date: |
Respondents:
Release No.
34-70020
File Number:
3-15386
|
Date: |
Respondents:
Release No.
34-70022
File Number:
3-15387
|
Date: |
Respondents:
Release No.
34-70030
File Number:
3-15388
|
Date: |
Respondents:
Release No.
34-70031
File Number:
3-15212
|
Date: |
Respondents:
Release No.
34-70012
File Number:
3-15202
|
Date: |
Respondents:
Release No.
34-70013
File Number:
3-15359
|
Date: |
Respondents:
Release No.
34-70015, 34-69604
See Also:
Distribution Plan
File Number:
3-14950
|
Date: |
Respondents:
Release No.
34-70016
File Number:
3-13847
|
Date: |
Respondents:
Release No.
34-70017
File Number:
3-15383
|
Date: |
Respondents:
Release No.
IA-3633
File Number:
3-15381
|
Date: |
Respondents:
Release No.
IA-3634
File Number:
3-15382, 3-15382
|
Date: |
Respondents:
Release No.
34-70000
File Number:
3-15378
|
Date: |
Respondents:
Release No.
34-70002
File Number:
3-15379
|
Date: |
Respondents:
Release No.
IA-3630
File Number:
3-15380
|
Date: |
Respondents:
Release No.
34-70003
File Number:
3-12448
|
Date: |
Respondents:
Release No.
IA-3632
File Number:
3-15366
|
Date: |
Respondents:
Release No.
34-69998
File Number:
3-15312
|
Date: |
Respondents:
Release No.
34-69995, 34-61386
File Number:
3-13757
|
Date: |
Respondents:
Release No.
34-69986
File Number:
3-15355
|