Administrative Proceeding File No. 3-20127

Respondents

Smith, Eric S.


Release Date	Release Number	Name of Document
July 8, 2024	34-100463	Order Extending Time to Issue Decision
April 8, 2024	34-99919	Order Extending Time to Issue Decision
Jan. 8, 2024	34-99285	Order Extending Time to Issue Decision
Oct. 10, 2023	34-98711	Order Extending Time to Issue Decision
July 10, 2023	34-97864	Order Extending Time to Issue Decision
April 10, 2023	34-97275	Order Extending Time to Issue Decision
Jan. 9, 2023	34-96615	Order Extending Time to Issue Decision
Oct. 11, 2022	34-96031	Order Extending Time to Issue Decision
July 11, 2022	34-95252	Order Extending Time to Issue Decision
April 11, 2022	34-94675	Order Extending Time to Issue Decision
Jan. 10, 2022	34-93944	Order Extending Time to Issue Decision
March 2, 2021	34-91237	Extension Order
Dec. 30, 2020	34-90825	Extension Order
Dec. 3, 2020	34-90561	Order Scheduling Briefs
Oct. 26, 2020	34-90269	Extension Order


Release Date	Release Number	Other Release Numbers	Name of Document
Oct. 20, 2020			Application for Review
Jan. 18, 2021			Applicant's Motion for Oral Argument
Jan. 18, 2021			Applicant Eric S. Smith's Opening Brief
Feb. 17, 2021			FINRA's Opposition to Application for Review
March 11, 2021			Applicant Eric S. Smith's Reply Brief
Oct. 26, 2020			Extension Order
Dec. 3, 2020			Order Scheduling Briefs
Dec. 30, 2020			Extension Order
March 2, 2021			Extension Order
Jan. 10, 2022			Order Extending Time to Issue Decision
April 11, 2022			Order Extending Time to Issue Decision
Oct. 11, 2022			Order Extending Time to Issue Decision
July 11, 2022			Order Extending Time to Issue Decision
Jan. 9, 2023			Order Extending Time to Issue Decision
July 10, 2023			Order Extending Time to Issue Decision
Jan. 8, 2024			Order Extending Time to Issue Decision