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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
Release No. IA-4195, IC-31825
File Number: 3-15519
Release No. 33-9912, 34-75922, IA-4194, IC-31824
File Number: 3-15790
Release No. 34-75894, IC-31818
File Number: 3-15874
Release No. 34-75893, IA-4193
File Number: 3-15850
Release No. 34-75868
File Number: 3-16209
Release No. 34-75840
File Number: 3-15993
Release No. 34-75844, AAER-3682
File Number: 3-15659
Release No. 34-75839
File Number: 3-16230
Release No. 34-75838
File Number: 3-15916
Release No. 34-75837, IA-4190, IC-31806
File Number: 3-15006
Release No. 34-75822
File Number: 3-16285
Release No. 34-75820, IA-4187, IC-31804
File Number: 3-15215
Release No. 34-75818
File Number: 3-16502
Release No. 34-75790
File Number: 3-16321
Release No. 34-75791
File Number: 3-16317
Release No. 34-75775
File Number: 3-16292
Release No. 34-75774
File Number: 3-16555
Release No. IA-4183, IC-31787
File Number: 3-15519
Release No. 34-75765
File Number: 3-16525
Release No. IA-4180, IA-3960
File Number: 3-16223
Release No. 34-75705
File Number: 3-16434
Release No. 34-75686, IA-4168, IC-31750
File Number: 3-16047
Release No. IA-4166, IC-31749
File Number: 3-15519
Release No. 33-9883, 34-75651
File Number: 3-15124
Release No. IA-4157, IC-31739
File Number: 3-16037
Release No. 34-75615
File Number: 3-16551
Release No. 34-75617
File Number: 3-13678r
Release No. 33-9875, 34-75590, IA-4153, IC-31736
File Number: 3-15255
Release No. 33-9873, 34-75579, IC-31731
File Number: 3-14848
Release No. 34-75571
File Number: 3-16658
Release No. 34-75531
File Number: 3-15964
Release No. 34-75502
File Number: 3-16502
Release No. 34-75405
File Number: 3-16577
Release No. 34-75351
File Number: 3-16551
Release No. 34-75269
File Number: 3-16362
Release No. 34-75262, IA-4125, IC-31685
File Number: 3-15006
Release No. IA-4117, IC-31671
File Number: 3-15006
Release No. 34-75168
File Number: 3-15432
Release No. 34-75162, 34-70620, 34-70706
File Number: 3-15432
Release No. 34-75161, 34-74933
File Number: 3-16472
Release No. 34-75135
File Number: 3-16497
Release No. 34-75134
File Number: 3-16424
Release No. 34-75117
File Number: 3-16378
Release No. 33-9805, 34-75114, IA-4104, IC-31662
File Number: 3-15514
Release No. IA-4103, IC-31660
File Number: 3-15519
Release No. 34-75101
File Number: 3-16518
Release No. 33-9803, 34-75103
File Number: 3-15211
Release No. 34-75075
File Number: 3-16430
Release No. 33-9798, 34-75076, IC-31657
File Number: 3-15015
Release No. 33-9797, 34-75074, IC-31656
File Number: 3-15874
Release No. IA-4096, IC-31652
File Number: 3-15519
Release No. 34-75054
File Number: 3-15601
Release No. 33-9790, 34-75027, IC-31644
File Number: 3-15514
Release No. 33-9775, 34-74991, IA-4088, IC-31605
File Number: 3-15918
Release No. IA-4085
File Number: 3-15580
Release No. IA-4084
File Number: 3-15581
Release No. 34-74961
File Number: 3-16329
Release No. IA-4083
File Number: 3-16223
Release No. 34-74933
File Number: 3-16472
Release No. 34-74932
File Number: 3-13678r
Release No. 34-74913
File Number: 3-15990
Release No. 34-74903
File Number: 3-15935
Release No. 34-74893
File Number: 3-16428
Release No. 34-74887
File Number: 3-15544
Release No. 34-74886
File Number: 3-15628
Release No. 33-9765, 34-74883, IA-4077, IC-31594
File Number: 3-15967
Release No. 33-9766, 34-74891
File Number: 3-15974
Release No. 34-74855
File Number: 3-16461
Release No. 33-9763, IA-4075, IC-31588
File Number: 3-15574
Release No. 33-9762, 34-74836
File Number: 3-15211
Release No. 34-74803
File Number: 3-15764
Release No. 34-74788
File Number: 3-16424
Release No. IA-4067
File Number: 3-15850
Release No. IA-4061
File Number: 3-16155
Release No. 34-74732
File Number: 3-16430
Release No. 34-74596
File Number: 3-15628
Release No. 34-74557
File Number: 3-15790
Release No. 34-74552, AAER-3643
File Number: 3-15116
Release No. 34-74532, IA-4051
File Number: 3-16104
Release No. 34-74468
File Number: 3-16360
Release No. 34-74437
File Number: 3-16360
Release No. 34-74414
File Number: 3-16362
Release No. 34-74418
File Number: 3-16331
Release No. 34-74361
File Number: 3-16329
Release No. 34-74354, IC-31468, IC-31467
File Number: 3-15824
Release No. 33-9730, 34-74353, IA-4030, IC-31467
File Number: 3-15842
Release No. 33-9731, IA-4031, IC-31468, IC-31467
File Number: 3-15574
Release No. 33-9728, 34-74345, IA-4029, IC-31462
File Number: 3-15255
Release No. 33-9727, 34-74344, IA-4028, IC-31461
File Number: 3-14684
Release No. 34-74269
File Number: 3-15701
Release No. 34-74274
File Number: 3-16331
Release No. 34-74216
File Number: 3-15837
Release No. 33-9722, 34-74215
File Number: 3-15974
Release No. IA-4012, IC-31442
File Number: 3-15519
Release No. 34-74187
File Number: 3-15130
Release No. 34-74176
File Number: 3-16184
Release No. 33-9716, 34-74168, IA-4010, IC-31436
File Number: 3-15617
Release No. IA-4008
File Number: 3-15925
Release No. 34-74153
File Number: 3-16036
Release No. 34-74138, IA-4007, IC-31429
File Number: 3-16190