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.
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.
34-101158, IA-6727
File Number:
3-22173
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Release No.
IA-6726
File Number:
3-22174
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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.
34-101141, IA-6721
File Number:
3-22165
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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.
34-101140
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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Release No.
34-101130, IA-6718
See Also:
Administrative Summary
File Number:
3-22157
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Release No.
34-101124
See Also:
Administrative Summary
File Number:
3-22154
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Release No.
34-101123
See Also:
Administrative Summary
File Number:
3-22153
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Release No.
34-101119, AAER-4522
See Also:
Administrative Summary
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Release No.
34-101113
File Number:
3-15635
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Release No.
34-101112
File Number:
3-11578
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Release No.
IA-6715
File Number:
3-22151
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Release No.
IA-6714
See Also:
Administrative Summary
File Number:
3-22150
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Release No.
33-11307, 34-101114, IA-6713, IC-35329
See Also:
Administrative Summary
File Number:
3-22149
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Release No.
IA-6712, AAER-4521
See Also:
Administrative Summary
File Number:
3-22148
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Release No.
IA-6711
See Also:
Administrative Summary
File Number:
3-22147
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Release No.
34-101101
File Number:
3-22146
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Release No.
IA-6709, IC-35325
File Number:
3-22144
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Release No.
IA-6710, IC-35326
File Number:
3-22145
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Release No.
33-11306, 34-101075
File Number:
3-22143
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Release No.
34-101072
See Also:
Proposed Plan of Distribution
Submit Comments on:
Notice of Proposed Plan of Distribution and Opportunity for Comment
File Number:
3-21602
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Release No.
34-101071, IA-6708
File Number:
3-22142
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Release No.
IA-6701
See Also:
Administrative Summary
File Number:
3-22141
|
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Release No.
34-101069
File Number:
3-21717
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Release No.
34-101068
File Number:
3-21816
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Release No.
34-101067
See Also:
Proposed Plan of Distribution
Comments Due:
October 17, 2024
Submit Comments on:
Comscore, Inc. and Serge Matta
File Number:
3-19499, 3-19500
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Release No.
34-101066
File Number:
3-16398
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Release No.
34-101063, IA-6707
File Number:
3-22140
|
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Release No.
34-101062, IA-6706
File Number:
3-22139
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Release No.
34-101061, IA-6705
File Number:
3-22138
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Release No.
34-101060
File Number:
3-22137
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Release No.
34-101059, IA-6704
File Number:
3-22136
|
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Release No.
34-101058, IA-6703
File Number:
3-22135
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Release No.
34-101057, IA-6702
File Number:
3-22134
|
Oct. 18, 2024