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## Enforcement

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# 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.

                                  - Litigated AP Case Materials (Open)
                                  - Litigated AP Case Materials (Closed)
                                  - Electronic Filings in Administrative Proceedings (eFAP)

                                  - Subpoena Form to Produce Documents - Proceeding Before the Commission
                                  - Subpoena Form to Appear and Testify at a Deposition - Proceeding Before the Commission

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