Administrative Proceedings
Between October 1, 2025, and November 12, 2025, the Commission experienced a lapse in appropriations. In light of the lapse, the Commission issued an order staying administrative proceedings. On November 13, 2025, the Commission issued an order lifting the stay and extending dates in the proceedings previously subject to the stay.
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 |
|---|---|
|
Release No.
33-11329, IA-6776
See Also:
Administrative Summary
File Number:
3-22331
|
|
|
Release No.
34-101706
File Number:
3-22329
|
|
|
Release No.
34-101707
File Number:
3-22330
|
|
|
Release No.
34-101705
File Number:
3-22328
|
|
|
Release No.
33-11328, 34-101702, AAER-4542
File Number:
3-22327
|
|
|
Release No.
34-101674
File Number:
3-22262
|
|
|
Release No.
34-101659
See Also:
Proposed Plan of Distribution
Comments received are available:
http://www.sec.gov/comments/3-21655/3-21655.htm
File Number:
3-21655
|
|
|
Release No.
34-101658
File Number:
3-21546
|
|
|
Release No.
34-101657
File Number:
3-22325
|
|
|
Release No.
34-101653
File Number:
3-19816
|
|
|
Release No.
34-101650
File Number:
3-22063
|
|
|
Release No.
34-101649, AAER-4541
File Number:
3-22324
|
|
|
Release No.
34-101633
See Also:
Administrative Summary
File Number:
3-22323
|
|
|
Release No.
34-101632
File Number:
3-22242
|
|
|
Release No.
34-101606
File Number:
3-22060
|
|
|
Release No.
34-101618
File Number:
3-15635
|
|
|
Release No.
34-101612
File Number:
3-21405
|
|
|
Release No.
34-101610
File Number:
3-21655
|
|
|
Release No.
34-101609
File Number:
3-20932
|
|
|
Release No.
34-101608
File Number:
3-22322
|
|
|
Release No.
34-101607
File Number:
3-22313
|
|
|
Release No.
34-101602
File Number:
3-22321
|
|
|
Release No.
34-101600
File Number:
3-22320
|
|
|
Release No.
34-101598
See Also:
Plan of Distribution
File Number:
3-21602
|
|
|
Release No.
34-101597
See Also:
Plan of Distribution
File Number:
3-19499, 3-19500
|
|
|
Release No.
34-101596
See Also:
Plan of Distribution
File Number:
3-18561, 3-18562, 3-18563
|
|
|
Release No.
34-101595
File Number:
3-22319
|
|
|
Release No.
34-101594
File Number:
3-22318
|
|
|
Release No.
34-101593
File Number:
3-22317
|
|
|
Release No.
34-101592
File Number:
3-22316
|
|
|
Release No.
34-101591
File Number:
3-22315
|
|
|
Release No.
34-101590
File Number:
3-22314
|
|
|
Release No.
34-101585, AAER-4540
File Number:
3-22312
|
|
|
Release No.
34-101580, AAER-4539
File Number:
3-22311
|
|
|
Release No.
34-101579, AAER-4538
File Number:
3-22310
|
|
|
Release No.
33-11326, 34-101574, AAER-4537
See Also:
Administrative Summary
File Number:
3-22309
|
|
|
Release No.
IA-6772
See Also:
Administrative Summary
File Number:
3-22308
|
|
|
Release No.
IA-6771
See Also:
Administrative Summary
File Number:
3-22307
|
|
|
Release No.
IA-6770
File Number:
3-22306
|
|
|
Release No.
34-101553
File Number:
3-22303
|
|
|
Release No.
34-101558, IA-6769
File Number:
3-22305
|
|
|
Release No.
34-101554
File Number:
3-22304
|
|
|
Release No.
34-101549
File Number:
3-22302
|
|
|
Release No.
34-101548
File Number:
3-22301
|
|
|
Release No.
IA-6768
File Number:
3-22300
|
|
|
Release No.
34-101545
File Number:
3-22299
|
|
|
Release No.
34-101544
File Number:
3-22298
|
|
|
Release No.
34-101542
File Number:
3-22297
|
|
|
Release No.
34-101541
File Number:
3-22296
|
|
|
Release No.
34-101539
File Number:
3-22295
|
|
|
Release No.
34-101538
File Number:
3-22294
|
|
|
Release No.
34-101535
File Number:
3-22293
|
|
|
Release No.
34-101534
File Number:
3-22292
|
|
|
Release No.
IA-6766
File Number:
3-22291
|
|
|
Release No.
34-101528
File Number:
3-22290
|
|
|
Release No.
34-101527
File Number:
3-22289
|
|
|
Release No.
34-101523
File Number:
3-22288
|
|
|
Release No.
34-101522
File Number:
3-22287
|
|
|
Release No.
34-101521, IA-6765
File Number:
3-22286
|
|
|
Release No.
34-101513
See Also:
Proposed Plan of Distribution
Comments Due:
30 days from date of this Notice
Submit Comments on:
3-20185 - Notice of Proposed Plan of Distribution and Opportunity for Comment
File Number:
3-20185
|
|
|
Release No.
34-101512
File Number:
3-21295
|
|
|
Release No.
34-101508
File Number:
3-21405
|
|
|
Release No.
IA-6763
See Also:
Administrative Summary
File Number:
3-22283
|
|
|
Release No.
IA-6761, IC-35374
File Number:
3-22282
|
|
|
Release No.
33-11324, 34-101495, IA-6760
File Number:
3-22280
|
|
|
Release No.
IC-35373
File Number:
3-22281
|
|
|
Release No.
34-101494, IA-6759
File Number:
3-22278
|
|
|
Release No.
34-101493, IA-6758
File Number:
3-22279
|
|
|
Release No.
34-101484
File Number:
3-20166
|
|
|
Release No.
34-101472
File Number:
3-22277
|
|
|
Release No.
34-101459
See Also:
Proposed Plan of Distribution
Comments Due:
Thirty (30) days from the date of this Notice
Submit Comments on:
Notice of Proposed Plan of Distribution and Opportunity for Comment
File Number:
3-21585
|
|
|
Release No.
IA-6756
File Number:
3-22275
|
|
|
Release No.
34-101424
See Also:
Administrative Summary
File Number:
3-22274
|
|
|
Release No.
IA-6754
File Number:
3-22273
|
|
|
Release No.
33-11323 , 34-101401
File Number:
3-22272
|
|
|
Release No.
33-11322, 34-101400
File Number:
3-22271
|
|
|
Release No.
33-11321, 34-101399
File Number:
3-22270
|
|
|
Release No.
33-11320, 34-101398
File Number:
3-22269
|
|
|
Release No.
34-101395
See Also:
Proposed Plan of Distribution
Comments Due:
Thirty (30) days from the date of this Notice
Submit Comments on:
Notice of Proposed Plan of Distribution and Opportunity for Comment
File Number:
3-20954
|
|
|
Release No.
IA-6753, IC-35364
File Number:
3-22268
|
|
|
Release No.
34-101379
See Also:
Administrative Summary
File Number:
3-22267
|
|
|
Release No.
34-101378
File Number:
3-22266
|
|
|
Release No.
34-101376
File Number:
3-22265
|
|
|
Release No.
34-101366
File Number:
3-22264
|
|
|
Release No.
34-101361
See Also:
Administrative Summary
File Number:
3-22259
|
|
|
Release No.
34-101365
File Number:
3-22263
|
|
|
Release No.
34-101363
File Number:
3-22261
|
|
|
Release No.
34-101353, AAER-4534
File Number:
3-22256
|
|
|
Release No.
34-101362
File Number:
3-22260
|
|
|
Release No.
34-101364
File Number:
3-22262
|
|
|
Release No.
34-101355
File Number:
3-22258
|
|
|
Release No.
34-101354
File Number:
3-22257
|
|
|
Release No.
34-101352, IA-6750
See Also:
Administrative Summary
File Number:
3-22255
|
|
|
Release No.
33-11318, 34-101350, IA-6749
See Also:
Administrative Summary
File Number:
3-22254
|
|
|
Release No.
34-101347
File Number:
3-22253
|
|
|
Release No.
34-101344
File Number:
3-22252
|
|
|
Release No.
34-101334
File Number:
3-22248
|
|
|
Release No.
34-101335
File Number:
3-22249
|
|
|
Release No.
34-101343
File Number:
3-22251
|
|
|
Release No.
34-101339
File Number:
3-22250
|