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