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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. 33-9710, 34-74139, IA-4007, IC-31429
File Number: 3-15514
Release No. IA-4003, IC-31424
File Number: 3-15519
Release No. 34-74101
File Number: 3-15837
Release No. 33-9703, 34-74100, IA-4002, IC-31423
File Number: 3-15255
Release No. 34-74054
File Number: 3-15993
Release No. 34-74030
File Number: 3-15811
Release No. 34-74015
File Number: 3-15056
Release No. 34-73983
File Number: 3-15737
Release No. 34-73949
File Number: 3-16268
Release No. 34-73922
File Number: 3-15350, 3-15351, 3-15773, 3-16006
Release No. 34-73900
File Number: 3-15993
Release No. 34-73899
File Number: 3-16321
Release No. 34-73898
File Number: 3-16292
Release No. 34-73897
File Number: 3-16317
Release No. 34-73867
File Number: 3-16285
Release No. 34-73855
File Number: 3-16211
Release No. 34-73854
File Number: 3-16208
Release No. 33-9689, 34-73840, IA-3981, IC-31374
File Number: 3-14081
Release No. 34-73825
File Number: 3-15824
Release No. 33-9688
File Number: 3-15255
Release No. 34-73811
File Number: 3-16262
Release No. 34-73799
File Number: 3-16230
Release No. 34-73763, AAER-3602
File Number: 3-15012
Release No. 34-73748
File Number: 3-16131
Release No. 34-73723
File Number: 3-16209
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
Release No. 34-71866
File Number: 3-14587