Administrative Proceedings
The list below provides links to opinions and orders concerning both litigated and settled administrative proceedings instituted by the Commission.
The links below direct you to the docket pages for adjudicatory proceedings – meaning administrative proceedings adjudicated by the Commission including by its consideration of initial decisions of ALJ and appeals from SRO or PCAOB action – 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. 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
| Date Sort ascending | Respondents |
|---|---|
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Release No.
IA-6688
See Also:
Administrative Summary
File Number:
3-22101
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Release No.
IA-6687
File Number:
3-22098
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Release No.
IA-6686
File Number:
3-22097
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Release No.
IA-6685
File Number:
3-22096
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Release No.
IA-6684
File Number:
3-22095
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Release No.
IA-6683
File Number:
3-22094
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Release No.
IA-6682
File Number:
3-22093
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Release No.
IA-6681
File Number:
3-22092
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Release No.
IA-6680
File Number:
3-22091
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Release No.
IA-6679
File Number:
3-22090
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Release No.
IA-6678
File Number:
3-22089
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Release No.
34-100968
See Also:
Administrative Summary
File Number:
3-22086
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Release No.
34-100979
See Also:
Administrative Summary
File Number:
3-22088
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Release No.
34-100978
See Also:
Administrative Summary
File Number:
3-22087
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Release No.
34-100976
File Number:
3-22085
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Release No.
34-100975
File Number:
3-22084
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Release No.
34-100974
File Number:
3-22083
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Release No.
34-100973
File Number:
3-22082
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Release No.
34-100972
File Number:
3-22081
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Release No.
34-100971
File Number:
3-22080
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Release No.
34-100970
File Number:
3-22079
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Release No.
34-100969
File Number:
3-22078
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Release No.
34-100957
File Number:
3-22077
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Release No.
34-100955
File Number:
3-22076
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Release No.
IA-6676
See Also:
Administrative Summary
File Number:
3-22075
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Release No.
34-100934
File Number:
3-22074
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Release No.
34-100933
File Number:
3-22073
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Release No.
34-100932
File Number:
3-22072
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Release No.
34-100931
File Number:
3-22071
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Release No.
34-100925
File Number:
3-22070
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Release No.
34-100923
File Number:
3-22069
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Release No.
34-100922
File Number:
3-22068
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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
File Number:
3-22016
|
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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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