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 |
|---|---|
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Release No.
34-101333
File Number:
3-22247
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Release No.
34-101332
File Number:
3-22246
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Release No.
34-101331
File Number:
3-22245
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Release No.
34-101330
File Number:
3-22244
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Release No.
34-101329
File Number:
3-22243
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Release No.
34-101328
File Number:
3-22242
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Release No.
34-101327
File Number:
3-22241
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Release No.
34-101326
File Number:
3-22240
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Release No.
IA-6748
File Number:
3-20531
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Release No.
34-101324, IA-6747
See Also:
Administrative Summary
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Release No.
34-101319
File Number:
3-21655
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Release No.
34-101318
File Number:
3-21836, 3-21837
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Release No.
34-101317
File Number:
3-21825, 3-21826
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Release No.
34-101316
File Number:
3-21586
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Release No.
34-101314
File Number:
3-20781, 3-20782, 3-20783
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Release No.
34-101313
File Number:
3-21766
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Release No.
33-11317, 34-101308, AAER-4533
See Also:
Administrative Summary
File Number:
3-22238
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Release No.
34-101307, AAER-4532
File Number:
3-22237
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Release No.
33-11316, 34-101297, IA-6745, IC-35357
File Number:
3-22236
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Release No.
34-101293
File Number:
3-22235
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Release No.
34-101292
File Number:
3-22234
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Release No.
34-101287
File Number:
3-22232
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Release No.
34-101288
File Number:
3-22233
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Release No.
34-101285
File Number:
3-22231
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Release No.
34-101284
File Number:
3-22230
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Release No.
34-101279
File Number:
3-22229
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Release No.
34-101278
File Number:
3-22228
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Release No.
34-101270
See Also:
Proposed Plan of Distribution
Submit Comments on:
Notice of Proposed Plan of Distribution and Opportunity for Comment
File Number:
3-21535
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Release No.
IA-6743
See Also:
Administrative Summary
File Number:
3-22227
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Release No.
34-101234
File Number:
3-22226
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Release No.
IA-6740
File Number:
3-22225
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Release No.
33-11315, 34-101232
See Also:
Administrative Summary
File Number:
3-22224
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Release No.
34-101220
File Number:
3-22222
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Release No.
33-11314, 34-101221
File Number:
3-22223
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Release No.
34-101216, IA-6738
See Also:
Administrative Summary
File Number:
3-22220
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Release No.
IA-6737
File Number:
3-22219
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Release No.
IA-6736
See Also:
Administrative Summary
File Number:
3-22218
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Release No.
34-101215
File Number:
3-21825, 3-21826
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Release No.
34-101213
File Number:
3-22217
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Release No.
34-101210
See Also:
Administrative Summary
File Number:
3-22215
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Release No.
IA-6734
See Also:
Administrative Summary
File Number:
3-22216
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Release No.
33-11312
See Also:
Administrative Summary
File Number:
3-22214
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Release No.
34-101202
See Also:
Administrative Summary
File Number:
3-22213
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Release No.
IA-6732
See Also:
Administrative Summary
File Number:
3-22212
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Release No.
IA-6731
See Also:
Administrative Summary
File Number:
3-22209
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Release No.
33-11311, 34-101201
File Number:
3-22210
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Release No.
34-101200, IA-6730
File Number:
3-22208
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Release No.
34-101199, AAER-4524
File Number:
3-22206
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Release No.
IA-6729
File Number:
3-22204
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Release No.
34-101198
File Number:
3-22205
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Release No.
34-101188
File Number:
3-22203
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Release No.
34-101187
See Also:
Administrative Summary
File Number:
3-22202
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Release No.
34-101186
See Also:
Administrative Summary
File Number:
3-22201
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Release No.
34-101185
See Also:
Administrative Summary
File Number:
3-22200
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Release No.
34-101184
See Also:
Administrative Summary
File Number:
3-22199
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Release No.
34-101183
See Also:
Administrative Summary
File Number:
3-22198
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Release No.
34-101181
File Number:
3-22197
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Release No.
34-101180
File Number:
3-22196
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Release No.
34-101179
File Number:
3-22195
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Release No.
34-101178
File Number:
3-22194
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Release No.
34-101177
File Number:
3-22193
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Release No.
34-101176
File Number:
3-22192
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Release No.
34-101175
File Number:
3-22191
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Release No.
34-101174
File Number:
3-22190
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Release No.
34-101173
File Number:
3-22189
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Release No.
34-101172
File Number:
3-22188
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Release No.
34-101171
File Number:
3-22187
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Release No.
34-101170
File Number:
3-22186
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Release No.
34-101169
File Number:
3-22185
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Release No.
34-101168
File Number:
3-22184
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Release No.
34-101167
File Number:
3-22183
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Release No.
34-101166
File Number:
3-22182
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Release No.
34-101165
File Number:
3-22181
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Release No.
34-101164
File Number:
3-22180
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Release No.
34-101163
File Number:
3-22179
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Release No.
34-101162
File Number:
3-22178
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Release No.
34-101161
File Number:
3-22177
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Release No.
34-101160
File Number:
3-22176
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Release No.
34-101159
File Number:
3-22175
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Release No.
IA-6726
File Number:
3-22174
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Release No.
34-101158, IA-6727
File Number:
3-22173
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Release No.
IA-6725
See Also:
Administrative Summary
File Number:
3-22171
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Release No.
33-11309, 34-101153
File Number:
3-22172
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Release No.
34-101149, IA-6724
File Number:
3-22170
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Release No.
IA-6723, IC-35332
See Also:
Administrative Summary
File Number:
3-22169
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Release No.
34-101144, IA-6722
File Number:
3-22168
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Release No.
34-101143
File Number:
3-22167
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Release No.
34-101142
File Number:
3-22166
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Release No.
34-101141, IA-6721
File Number:
3-22165
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Release No.
34-101140
File Number:
3-22163
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Release No.
34-101139
File Number:
3-22161
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Release No.
34-101138, IA-6716
File Number:
3-22160
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Release No.
34-101137
File Number:
3-22159
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Release No.
IA-6720
File Number:
3-22164
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Release No.
IA-6717
File Number:
3-22162
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Release No.
34-101136
File Number:
3-21762
|
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Release No.
IC-35331
See Also:
Administrative Summary
File Number:
3-22158
|
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Release No.
IA-6719
File Number:
3-22155
|
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Release No.
34-101134
File Number:
3-15507
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Release No.
34-101133
See Also:
Administrative Summary
File Number:
3-22156
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Thirty (30) days from the date of this Notice