Commission Opinions and Adjudicatory Orders
The Commission recently amended its Rules of Practice to include new electronic filing requirements.
The list below provides links to opinions and orders issued by the Commission adjudicating either appeals from initial ALJ decisions or disciplinary or adverse action taken by self-regulatory organizations (such as FINRA) or motions in connection with these proceedings.
| Date Sort ascending | Respondents |
|---|---|
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Release No.
34-101572
File Number:
3-22013
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Release No.
34-101568
File Number:
3-22041
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Release No.
34-101567
File Number:
3-22099
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Release No.
34-101565
File Number:
3-20238
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Release No.
34-101564
File Number:
3-22028
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Release No.
34-101563
File Number:
3-22042
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Release No.
34-101532
File Number:
3-22068
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Release No.
34-101531
File Number:
3-22064
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Release No.
IA-6764
File Number:
3-20950
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Release No.
34-101507
File Number:
3-21039
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Release No.
IA-6762
File Number:
3-19733
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Release No.
34-101504
File Number:
3-20794
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Release No.
34-101502
File Number:
3-22276
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Release No.
34-101505
File Number:
3-21214
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Release No.
34-101478
File Number:
3-20504
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Release No.
34-101475
File Number:
3-22069
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Release No.
34-101474
File Number:
3-22073
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Release No.
34-101473
File Number:
3-22071
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Release No.
34-101463
File Number:
3-22060
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Release No.
34-101462
File Number:
3-22058
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Release No.
34-101458
File Number:
3-20653
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Release No.
34-101456
File Number:
3-22059
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Release No.
IA-6757
File Number:
3-20927
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Release No.
34-101438
File Number:
3-20639
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Release No.
34-101437
File Number:
3-22068
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Release No.
34-101436
File Number:
3-22064
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Release No.
34-101435
File Number:
3-22061
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Release No.
34-101414
File Number:
3-21880
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Release No.
IA-6755
File Number:
3-20828
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Release No.
34-101409
File Number:
3-22221
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Release No.
34-101407
File Number:
3-22057
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Release No.
34-101405
File Number:
3-22048
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Release No.
34-101404
File Number:
3-22049
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Release No.
34-101403
File Number:
3-22067
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Release No.
34-101391
File Number:
3-22036
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Release No.
34-101390
File Number:
3-20636
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Release No.
34-101389
File Number:
3-22035
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Release No.
34-101388
File Number:
3-20807
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Release No.
34-101385
File Number:
3-21516
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Release No.
IA-6752
File Number:
3-21364
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Release No.
34-101384
File Number:
3-22030
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Release No.
34-101381
File Number:
3-22029
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Release No.
34-101369
File Number:
3-21982
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Release No.
34-101374
File Number:
3-22072
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Release No.
34-101371
File Number:
3-22063
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Release No.
34-101372
File Number:
3-21011
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Release No.
34-101373
File Number:
3-22062
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Release No.
34-101357
File Number:
3-22016
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Release No.
34-101359
File Number:
3-22014
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Release No.
34-101356
File Number:
3-22018
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Release No.
34-101346
File Number:
3-21402
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Release No.
34-101342
File Number:
3-21390
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Release No.
34-101323
File Number:
3-20703
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Release No.
34-101312
File Number:
3-21890
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Release No.
34-101309
File Number:
3-21885
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Release No.
34-101315
File Number:
3-21211
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Release No.
34-101311
File Number:
3-21948
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Release No.
34-101310
File Number:
3-21864
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Release No.
34-101301, IA-6746
File Number:
3-20796
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Release No.
34-101298
File Number:
3-19787
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Release No.
34-101296
File Number:
3-22099
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Release No.
34-101286
File Number:
3-21889
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Release No.
34-101290
File Number:
3-21084
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Release No.
34-101276
File Number:
3-21888
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Release No.
34-101275
File Number:
3-21887
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Release No.
34-101274
File Number:
3-21211
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Release No.
34-101273
File Number:
3-20905
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Release No.
34-101264
File Number:
3-21878
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Release No.
34-101263
File Number:
3-21874
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Release No.
34-101259
File Number:
3-21873
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Release No.
34-101261
File Number:
3-20209
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Release No.
34-101260
File Number:
3-21414
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Release No.
34-101258
File Number:
3-21222
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Release No.
34-101255
File Number:
3-21872
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Release No.
34-101254
File Number:
3-21869
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Release No.
34-101252
File Number:
3-21871
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Release No.
34-101256
File Number:
3-21982
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Release No.
34-101247 , IA-6742
File Number:
3-21578
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Release No.
34-101240
File Number:
3-21866
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Release No.
34-101236
File Number:
3-21865
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Release No.
34-101235
File Number:
3-21387
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Release No.
34-101245
File Number:
3-21981
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Release No.
34-101239
File Number:
3-21257
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Release No.
34-101227
File Number:
3-22013
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Release No.
IA-6739
File Number:
3-20941
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Release No.
34-101230
File Number:
3-21726
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Release No.
34-101228
File Number:
3-20503
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Release No.
34-101223
File Number:
3-20504
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Release No.
34-101219
File Number:
3-21982
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Release No.
IA-6735
File Number:
3-21525
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Release No.
34-101217
File Number:
3-19814, 3-19815
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Release No.
34-101214, AAER-4530
File Number:
3-21298
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Release No.
34-101208, AAE-4529
File Number:
3-20394
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Release No.
33-11310, 34-101206, AAER-4528
File Number:
3-21831
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Release No.
34-101205, AAER-4527
File Number:
3-21314
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Release No.
34-101204, AAER-4526
File Number:
3-21241
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Release No.
34-101203, AAER-4525
File Number:
3-21139
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Release No.
34-101182, IA-6728
File Number:
3-21919
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Release No.
34-101129
File Number:
3-21951
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Release No.
IA-6697
File Number:
3-20928
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