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.
Every record in this dataset can be traced back to its primary source at https://www.sec.gov/litigation/admin. Source-specific terms apply. US federal employee-authored works are generally public domain under 17 USC 105; non-federal and third-party material retains source terms. Free or keyless access does not alter source terms. AI Analytics-authored metadata and normalization are CC0 only where expressly stated.