This page features opinions and orders issued by the Commission in connection with its adjudication of administrative proceedings, appeals from initial decisions of ALJs, and appeals from SRO or PCAOB action.

The links below direct you to the docket pages for such adjudicatory proceedings 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.

Commission Opinions and Adjudicatory Orders Table

Respondents
Date: Respondents:
Release No. 35-27782
See Also: PDF version
File Number: 3-10909
Date: Respondents:
Release No. 34-49002
File Number: 3-2783
Date: Respondents:
Release No. 34-49001
File Number: 3-4403
Date: Respondents:
Release No. 34-49000
File Number: 3-6102
Date: Respondents:
Release No. 33-8348
See Also: PDF version
File Number: 3-9933
Date: Respondents:
Release No. 34-48927, 34-54840
See Also: PDF version
File Number: 3-11062
Date: Respondents:
Release No. 34-48917
See Also: Inc. PDF version
File Number: 3-11073
Date: Respondents:
Release No. 33-8345A, 34-48904A, IC-26289A, IA-2200A PDF version
File Number: 3-10659
Date: Respondents:
Release No. 33-8344, 34-48903 PDF version
See Also: PDF version
File Number: 3-10310
Date: Respondents:
Release No. 34-48866
See Also: PDF version
File Number: 3-10391
Date: Respondents:
Release No. 34-48760
File Number: 3-10816
Date: Respondents:
Release No. 33-8334
See Also: PDF version
Date: Respondents:
Release No. 33-8333, 34-48758 PDF version
See Also: PDF version
File Number: 3-9954
Date: Respondents:
Release No. 34-48731, 34-54840
See Also: PDF version
File Number: 3-11062
Date: Respondents:
Release No. 34-48707
See Also: PDF version
File Number: 3-10864
Date: Respondents:
Release No. 33-8314, 34-48691 PDF version
File Number: 3-9959
Date: Respondents:
Release No. 33-8313, 34-48684 PDF version
See Also: PDF version
File Number: 3-9952
Date: Respondents:
Release No. 34-48618
File Number: 3-10916
Date: Respondents:
Release No. IA-2179
File Number: 3-9918
Date: Respondents:
Release No. 34-48590
File Number: 3-9615
Date: Respondents:
Release No. 34-48573
File Number: 3-10772
Date: Respondents:
Release No. 34-48554
File Number: 3-10999
Date: Respondents:
Release No. 34-48550
File Number: 3-11000
Date: Respondents:
Release No. 34-48473
File Number: 3-11001
Date: Respondents:
Release No. 34-48433
File Number: 3-10958
Date: Respondents:
Release No. 33-8276, 34-48409, IC-26167, IA-2163
File Number: 3-9657
Date: Respondents:
Release No. 33-8274, IC-26169
File Number: 3-9730
Date: Respondents:
Release No. 33-8273, 34-48406
File Number: 3-10576
Date: Respondents:
Release No. 33-8271, 34-48385, IA-2161, IC-26165
File Number: 3-9218
Date: Respondents:
Release No. 34-48378
Date: Respondents:
Release No. 34-48372, AAER-1846
File Number: 3-9862
Date: Respondents:
Release No. 33-8265, 34-48352
File Number: 3-9499
Date: Respondents:
Release No. 33-8264, 34-48332
File Number: 3-10033
Date: Respondents:
Release No. 34-48292
File Number: 3-11048
Date: Respondents:
Release No. 34-48255, IA-2152
File Number: 3-9784
Date: Respondents:
Release No. 34-48254
File Number: 3-10065
Date: Respondents:
Release No. 34-48246, AAER-1823
File Number: 3-9966
Date: Respondents:
Release No. 34-48245
File Number: 3-10650
Date: Respondents:
Release No. 34-48238, AAER-1822
File Number: 3-9863
Date: Respondents:
Release No. IA-2151, 34-48228
File Number: 3-9865
Date: Respondents:
Release No. 33-8251
File Number: 3-9461
Date: Respondents:
Release No. 33-8249, 34-48162, IA-2143
File Number: 3-9571
Date: Respondents:
Release No. 34-48146
File Number: 3-8327-EAJ
Date: Respondents:
Release No. 34-48143
File Number: 3-9208
Date: Respondents:
Release No. 34-48092
File Number: 3-10611
Date: Respondents:
Release No. 34-48087
File Number: 3-10944
Date: Respondents:
Release No. 33-8239, 34-48001, IA-2136, IC-26070
File Number: 3-9546
Date: Respondents:
Release No. 34-47980
File Number: 3-9634
Date: Respondents:
Release No. 34-47859
File Number: 3-10888
Date: Respondents:
Release No. 33-8234
File Number: 3-9611
Date: Respondents:
Release No. 34-47784
File Number: 3-9114-EAJ
Date: Respondents:
Release No. 34-47627
File Number: 3-10460
Date: Respondents:
Release No. 34-47626
File Number: 3-10696
Date: Respondents:
Release No. IA-2119
File Number: 3-10336
Date: Respondents:
Release No. 34-47572
File Number: 3-9440-EAJA
Date: Respondents:
Release No. 33-8213
File Number: 3-10022
Date: Respondents:
Release No. 34-47542
File Number: 3-9374
Date: Respondents:
Release No. 34-47537
File Number: 3-10359
Date: Respondents:
Release No. 34-47534
File Number: 3-10424
Date: Respondents:
Release No. 33-8210, 34-47535
File Number: 3-9327
Date: Respondents:
Release No. 34-47504
File Number: 3-9309
Date: Respondents:
Release No. 34-47502
File Number: 3-9778
Date: Respondents:
Release No. 34-47501
File Number: 3-10749
Date: Respondents:
Release No. 34-47476
File Number: 3-10586
Date: Respondents:
Release No. 34-47461
File Number: 3-10671
Date: Respondents:
Release No. 34-47357
File Number: 3-8873
Date: Respondents:
Release No. 34-47335
File Number: 3-10675
Date: Respondents:
Release No. 34-47227
File Number: 3-10428
Date: Respondents:
Release No. 33-8174
File Number: 3-9602
Date: Respondents:
Release No. 34-47142
File Number: 3-10530