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