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.
33-9710, 34-74139, IA-4007, IC-31429
File Number:
3-15514
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Release No.
IA-4003, IC-31424
File Number:
3-15519
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Release No.
34-74101
File Number:
3-15837
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Release No.
33-9703, 34-74100, IA-4002, IC-31423
File Number:
3-15255
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|
Release No.
34-74054
File Number:
3-15993
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Release No.
34-74030
File Number:
3-15811
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Release No.
34-74015
File Number:
3-15056
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Release No.
34-73983
File Number:
3-15737
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Release No.
34-73949
File Number:
3-16268
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|
Release No.
34-73922
File Number:
3-15350, 3-15351, 3-15773, 3-16006
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Release No.
34-73900
File Number:
3-15993
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Release No.
34-73899
File Number:
3-16321
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Release No.
34-73898
File Number:
3-16292
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Release No.
34-73897
File Number:
3-16317
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Release No.
34-73867
File Number:
3-16285
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Release No.
34-73855
File Number:
3-16211
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Release No.
34-73854
File Number:
3-16208
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Release No.
33-9689, 34-73840, IA-3981, IC-31374
File Number:
3-14081
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Release No.
34-73825
File Number:
3-15824
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|
Release No.
33-9688
File Number:
3-15255
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Release No.
34-73811
File Number:
3-16262
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|
Release No.
34-73799
File Number:
3-16230
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Release No.
34-73763, AAER-3602
File Number:
3-15012
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Release No.
34-73748
File Number:
3-16131
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Release No.
34-73723
File Number:
3-16209
|
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Release No.
34-73721
File Number:
3-16264
|
|
Release No.
34-73700
File Number:
3-15925
|
|
Release No.
34-73699
File Number:
3-15659
|
|
Release No.
34-73698
File Number:
3-16285
|
|
Release No.
34-73664
File Number:
3-15794
|
|
Release No.
34-73637, IA-3970
File Number:
3-15928
|
|
Release No.
34-73634
File Number:
3-15755
|
|
Release No.
34-73555
File Number:
3-15508
|
|
Release No.
IA-3961
File Number:
3-15271
|
|
Release No.
34-73420
File Number:
3-16100
|
|
Release No.
34-73380
File Number:
3-15990
|
|
Release No.
33-9664, 34-73375, IA-3951, IC-31289
File Number:
3-15255
|
|
Release No.
34-73312
File Number:
3-15446
|
|
Release No.
34-73228
File Number:
3-15990
|
|
Release No.
34-73198
File Number:
3-16022
|
|
Release No.
34-73146
File Number:
3-15833
|
|
Release No.
34-73124
File Number:
3-14810
|
|
Release No.
33-9641, 34-73015, IC-31242, IC-31241
File Number:
3-15613
|
|
Release No.
33-9640, 34-73014, IA-3911, IC-31241
File Number:
3-15617
|
|
Release No.
34-72997, AAER-3581
File Number:
3-15168
|
|
Release No.
33-9639
File Number:
3-14630
|
|
Release No.
34-72975
File Number:
3-15990
|
|
Release No.
34-72974
File Number:
3-15628
|
|
Release No.
IA-3908
File Number:
3-14536
|
|
Release No.
34-72953
File Number:
3-15978
|
|
Release No.
33-9633, 34-72896, IA-3902, IC-31220
File Number:
3-15002
|
|
Release No.
33-9632, IA-3901, IC-31219
File Number:
3-15574
|
|
Release No.
33-9631, 34-72841, IA-3897, IC-31211
File Number:
3-15255
|
|
Release No.
34-72828
File Number:
3-15990
|
|
Release No.
IA-3892, IC-31202
File Number:
3-15519
|
|
Release No.
33-9628, 34-72788, IA-3890, IC-31200
File Number:
3-15514
|
|
Release No.
34-72753, AAER-3574
File Number:
3-15116
|
|
Release No.
IA-3878
File Number:
3-15263
|
|
Release No.
34-72644
File Number:
3-15833
|
|
Release No.
34-72639, AAER-3568
File Number:
3-14171
|
|
Release No.
34-72592
File Number:
3-15755
|
|
Release No.
34-72563
File Number:
3-15935
|
|
Release No.
34-72528
File Number:
3-15916
|
|
Release No.
34-72524
File Number:
3-15869
|
|
Release No.
33-9609, 34-72527, IA-3870, IC-31147
File Number:
3-15446
|
|
Release No.
34-72485
File Number:
3-15017
|
|
Release No.
34-72474
File Number:
3-15916
|
|
Release No.
34-72449, IA-3861, IC-31094
File Number:
3-15141
|
|
Release No.
34-72443, IA-3860, IC-31091
File Number:
3-14355
|
|
Release No.
34-72435
File Number:
3-15851
|
|
Release No.
33-9602, 34-72428
File Number:
3-15619
|
|
Release No.
34-72360, IA-3851, IC-31076
File Number:
3-15141
|
|
Release No.
33-9598, 34-72354
File Number:
3-13927
|
|
Release No.
IA-3844, IC-31072
File Number:
3-15263
|
|
Release No.
34-72293
File Number:
3-15869
|
|
Release No.
IA-3841
File Number:
3-15580
|
|
Release No.
34-72248
File Number:
3-15811
|
|
Release No.
33-9590, 34-72210, IA-3838, IC-31056
File Number:
3-15518
|
|
Release No.
34-72182
File Number:
3-15350, 3-15351
|
|
Release No.
34-72179, IA-3836, IC-31047
File Number:
3-14355
|
|
Release No.
33-9584, 34-72174
File Number:
3-13927
|
|
Release No.
34-72134, AAER-3552
File Number:
3-15116
|
|
Release No.
34-72140, AAER-3553
File Number:
3-15116
|
|
Release No.
33-9583, 34-72133, IA-3832, IC-31041
File Number:
3-15024
|
|
Release No.
34-72108
File Number:
3-15837
|
|
Release No.
IA-3829
File Number:
3-14536
|
|
Release No.
34-72090
File Number:
3-15824
|
|
Release No.
34-72080
File Number:
3-15045
|
|
Release No.
33-9582
File Number:
3-15715
|
|
Release No.
34-72076
File Number:
3-15130
|
|
Release No.
33-9580, 34-72059, IA-3827, IC-31036
File Number:
3-14081
|
|
Release No.
34-72035
File Number:
3-15794
|
|
Release No.
34-72031, IA-3824
File Number:
3-15308
|
|
Release No.
34-71972
File Number:
3-15735
|
|
Release No.
34-71970
File Number:
3-15183
|
|
Release No.
34-71926
File Number:
3-15769
|
|
Release No.
34-71922, IA-3816
File Number:
3-15538
|
|
Release No.
34-71921
File Number:
3-15817
|
|
Release No.
34-71875
File Number:
3-15794
|
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Release No.
34-71866
File Number:
3-14587
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