Administrative Proceeding Documents
The above link provides access to the principal pleadings, orders, and decisions in current SEC Administrative Proceedings. The listings are organized by the Commission file number or the case name uniquely assigned to each proceeding.
Disclaimer: These lists of matters, which may not be exhaustive, are for informational purposes only and do not necessarily reflect the actual status of the case.
Information in some of the administrative proceeding filings has been redacted to protect personal privacy or information that is subject to a confidentiality order entered by the Administrative Law Judge (ALJ) or the Commission.
Please note that all of the filings associated with a particular listed matter may not be available online. Filings that are made available online generally are posted within five business days. If you wish to review filings that are not online, or you want to request information that has been redacted, you can submit a Freedom of Information Act (FOIA) Request.
To find Administrative Proceeding orders and decisions organized by type of document, rather than by case name or file number, please see the following index pages:
- ALJ Initial Decisions (Decisions issued by the Commission's Administrative Law Judges in all administrative proceedings arranged by date)
- ALJ Orders (Orders issued by the Commission's Administrative Law Judges in all administrative proceedings arranged by date)
- Administrative Proceedings (Commission notices and orders concerning the institution and/or settlement of administrative proceedings arranged by date)
- Fair Funds (Distributions in Commission Administrative Proceedings: Notices and Orders Pertaining to Disgorgement and Fair Funds)
- Opinions and Adjudicatory Orders (Decisions and orders issued by the Commission in all administrative proceedings arranged by date)
- Stop Orders