Every administrative proceeding the SEC has brought against a registered firm, individual, or auditor through its in-house administrative law judges — 18,435 proceedings indexed since the early 2000s. Most insider-trading, accounting fraud, and adviser-misconduct cases settle here rather than in federal court (which is the parallel sec_litigation_releases dataset). Names the respondent, the statutory act cited (33 = Securities Act, 34 = Exchange Act, IA = Advisers Act, IC = Investment Company Act), the SEC file number, and links to the underlying order PDF.

Live API

This dataset is served via a live REST API at api.ai-analytics.org. The card you're reading exists so HuggingFace's index can route AI agents + researchers to the canonical source.

API endpoint: https://api.ai-analytics.org/api/v1/sec/admin/recent
Dataset landing page: https://api.ai-analytics.org/datasets/sec-admin-proceedings
DataCatalog (JSON-LD): https://api.ai-analytics.org/.well-known/dataset.json
DCAT-US (data.gov-compatible): https://api.ai-analytics.org/data.json

Quick start

# Recent records (JSON)
curl 'https://api.ai-analytics.org/api/v1/sec/admin/recent?limit=10'

# Browse on the web
open 'https://api.ai-analytics.org/datasets/sec-admin-proceedings'

MCP (Model Context Protocol)

This dataset is also accessible via MCP at https://api.ai-analytics.org/mcp — Claude, ChatGPT, and other MCP-compatible agents can call it directly.

Source

Agency: US Securities and Exchange Commission
Primary source: https://www.sec.gov/litigation/admin
License: CC0 1.0 Universal (derived data). Underlying federal works are US public domain under 5 USC 105 / 17 USC 105.
Update cadence: Per agency (most refresh daily via Cloudflare Cron Trigger)

Keywords

SEC, administrative proceeding, ALJ, Exchange Act, Advisers Act, respondent, in-house enforcement, settlement order, cease-and-desist

Citation

@misc{ai_analytics_sec_admin_proceedings_2026,
  title  = {{name}},
  author = {AI Analytics},
  year   = {2026},
  url    = {https://api.ai-analytics.org/datasets/sec-admin-proceedings},
  note   = {Derived from US Securities and Exchange Commission. License: CC0 1.0.}
}

Maintained by AI Analytics. Data is CC0; please cite the upstream agency.

Downloads last month: 39

Total file size:

5.93 kB

SEC Administrative Proceedings (in-house enforcement orders)