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.
34-100921
File Number:
3-22067
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Release No.
IA-6675
File Number:
3-22066
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Release No.
34-100917, AAER-4515
See Also:
Administrative Summary
File Number:
3-22065
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Release No.
34-100916
File Number:
3-22064
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Release No.
34-100915
File Number:
3-22063
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Release No.
34-100914
File Number:
3-22062
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Release No.
34-100913
File Number:
3-22061
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Release No.
34-100912
File Number:
3-22060
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Release No.
34-100911
File Number:
3-22059
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Release No.
34-100910
File Number:
3-22058
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Release No.
34-100909
File Number:
3-22057
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Release No.
34-100908, IA-6674
File Number:
3-22056
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Release No.
34-100907
File Number:
3-22055
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Release No.
34-100906
File Number:
3-22054
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Release No.
34-100905
File Number:
3-22053
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Release No.
34-100904
File Number:
3-22052
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Release No.
34-100903
File Number:
3-22051
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Release No.
34-100902
File Number:
3-22050
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Release No.
34-100899
File Number:
3-22049
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Release No.
34-100898
File Number:
3-22048
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Release No.
IA-6673
File Number:
3-22047
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Release No.
IA-6672
File Number:
3-22046
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Release No.
33-11301
See Also:
Administrative Summary
File Number:
3-22045
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Release No.
34-100890
File Number:
3-22042
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Release No.
34-100889
File Number:
3-22041
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Release No.
34-100888
File Number:
3-21761
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Release No.
34-100887
File Number:
3-21761
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Release No.
IA-6671
See Also:
Administrative Summary
File Number:
3-22044
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Release No.
IA-6670
File Number:
3-22043
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Release No.
34-100886
See Also:
Proposed Plan of Distribution
File Number:
3-20954, 3-20955
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Release No.
34-100885
File Number:
3-21925
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Release No.
IA-6669
File Number:
3-22040
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Release No.
34-100848, IA-6667
File Number:
3-22039
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Release No.
34-100845, AAER-4514
See Also:
Administrative Summary
File Number:
3-22037
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Release No.
34-100846
File Number:
3-22038
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Release No.
34-100820
See Also:
Administrative Summary
File Number:
3-22034
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Release No.
34-100822
File Number:
3-22036
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Release No.
34-100821
File Number:
3-22035
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Release No.
34-100819
See Also:
Administrative Summary
File Number:
3-22033
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Release No.
IA-6666
File Number:
3-22032
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Release No.
IA-6665
See Also:
Administrative Summary
File Number:
3-22031
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Release No.
34-100808
See Also:
Distribution Plan
File Number:
3-19899, 3-19900, 3-19901, 3-19902
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Release No.
34-100801
File Number:
3-22030
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Release No.
34-100800
File Number:
3-22029
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Release No.
34-100796
File Number:
3-22028
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Release No.
34-100795
File Number:
3-22027
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Release No.
34-100782
File Number:
3-22026
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Release No.
34-100781
File Number:
3-22025
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Release No.
34-100780
File Number:
3-22024
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Release No.
34-100775
File Number:
3-22022
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Release No.
34-100776
File Number:
3-22023
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Release No.
IA-6663
See Also:
Administrative Summary
File Number:
3-22021
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Release No.
IA-6662
See Also:
Administrative Summary
File Number:
3-22019
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Release No.
34-100769
File Number:
3-22020
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Release No.
34-100766
File Number:
3-22018
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Release No.
34-100765
File Number:
3-22017
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Release No.
34-100764
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Release No.
34-100763
File Number:
3-22015
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Release No.
34-100761
File Number:
3-22014
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Release No.
34-100760
File Number:
3-22013
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Release No.
34-100756
File Number:
3-22012
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Release No.
34-100755
File Number:
3-22011
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Release No.
34-100754
See Also:
Plan of Distribution
File Number:
3-21610
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Release No.
34-100728
File Number:
3-22010
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Release No.
34-100712, IA-6661
File Number:
3-22009
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Release No.
34-100711, IA-6660
File Number:
3-22008
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Release No.
34-100710, IA-6659
File Number:
3-22007
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Release No.
34-100709, IA-6658
File Number:
3-22006
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Release No.
34-100708
File Number:
3-22005
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Release No.
34-100707, IA-6657
File Number:
3-22004
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Release No.
34-100706, IA-6656
File Number:
3-22003
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Release No.
34-100705, IA-6655
File Number:
3-22002
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Release No.
34-100704, IA-6654
File Number:
3- 22001
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Release No.
34-100703, IA-6653
File Number:
3-22000
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Release No.
34-100702
File Number:
3-21998
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Release No.
34-100701, IA-6651
File Number:
3-21997
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Release No.
34-100699, IA-6650
File Number:
3-21995
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Release No.
34-100698, IA-6649
File Number:
3-21994
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Release No.
34-100697, IA-6648
File Number:
3-21993
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Release No.
34-100696
File Number:
3-21992
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Release No.
IA-6652
File Number:
3-21999
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Release No.
34-100700
File Number:
3-21996
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Release No.
34-100692
File Number:
3-21991
|
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Release No.
34-100691, IA-6647
See Also:
Administrative Summary
File Number:
3-21990
|
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Release No.
33-11297, 34-100688
File Number:
3-21989
|
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Release No.
33-11296, 34-100684, AAER-4512
File Number:
3-21988
|
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Release No.
IA-6646
See Also:
Administrative Summary
File Number:
3-21987
|
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Release No.
34-100668
See Also:
Amended Plan of Distribution
File Number:
3-20003
|
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Release No.
34-100618, IA-6642
File Number:
3-21986
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Release No.
34-100616, IA-6641
See Also:
Administrative Summary
File Number:
3-21984
|
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Release No.
34-100615, IA-6640
See Also:
Administrative Summary
File Number:
3-21983
|
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Release No.
34-100604
File Number:
3-21862
|
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Release No.
34-100600
File Number:
3-20600
|
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Release No.
34-100598
File Number:
3-20954, 3-20955
|
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Release No.
34-100586
File Number:
3-17808, 3-17809
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Release No.
34-100574
File Number:
3-20883, 3-20884, 3-20885, 3-20886, 3-20887, 3-20889
|
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Release No.
34-100573
File Number:
3-21145
|
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Release No.
34-100572
File Number:
3-21585
|
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Release No.
34-100571
File Number:
3-16098
|
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Release No.
34-100570
File Number:
3-21959
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