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 descending | Respondents |
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Release No.
34-102860, IA-6874
File Number:
3-21764, 3-21768, 3-21849, 3-21852, 3-21993, 3-21994, 3-21997, 3-21998, 3-22000, 3-22002, 3-22003, 3-22004, 3-22006, 3-22163, 3-22165, 3-22168
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Release No.
34-102854
File Number:
3-21390
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Release No.
34-102852
File Number:
3-21402
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Release No.
34-102858
File Number:
3-20703
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Release No.
34-102851
File Number:
3-21224
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Release No.
34-102850
File Number:
3-21769
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Release No.
33-11373
File Number:
3-19816
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Release No.
34-102804
File Number:
3-22073
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Release No.
34-102803
File Number:
3-22249
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Release No.
34-102802
File Number:
3-22023
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Release No.
34-102801
File Number:
3-22244
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Release No.
34-102800
File Number:
3-22252
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Release No.
34-102808
File Number:
3-21870
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Release No.
34-102805
File Number:
3-22471
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Release No.
34-102795
File Number:
3-22071
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Release No.
34-102794
File Number:
3-21867
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Release No.
34-102793
File Number:
3-22253
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Release No.
34-102792
File Number:
3-22068
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Release No.
34-102791
File Number:
3-22228
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Release No.
34-102790
File Number:
3-22294
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Release No.
34-102785
File Number:
3-22022
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Release No.
34-102784
File Number:
3-22064
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Release No.
34-102782
File Number:
3-22041
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Release No.
34-102778
File Number:
3-20209
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Release No.
34-102775
File Number:
3-21222
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Release No.
33-11370, 34-102777, IA-6871, IC-35521
File Number:
3-20597
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Release No.
34-102774
File Number:
3-22247
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Release No.
34-102766, IA-6870
File Number:
3-21769
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Release No.
34-102763
File Number:
3-22233
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Release No.
IA-6869
File Number:
3-20828
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Release No.
34-102738
File Number:
3-19896
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Release No.
34-102731
File Number:
3-21915
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Release No.
34-102719
File Number:
3-22015
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Release No.
34-102718
File Number:
3-21870
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Release No.
34-102700
File Number:
3-20917
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Release No.
34-102699
File Number:
3-21000
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Release No.
34-102695
File Number:
3-15123
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Release No.
34-102694
File Number:
3-21951
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Release No.
34-102693
File Number:
3-22390
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Release No.
34-102692
File Number:
3-20238
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Release No.
34-102691
File Number:
3-22276
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Release No.
34-102686
File Number:
3-20387
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Release No.
34-102687
File Number:
3-21818
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Release No.
34-102688
File Number:
3-21503
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Release No.
34-102689
File Number:
3-22347
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Release No.
34-102684
File Number:
3-21963
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Release No.
34-102664
File Number:
3-22284
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Release No.
IA-6863
File Number:
3-21064
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Release No.
34-102655
File Number:
3-22059
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Release No.
34-102612
File Number:
3-22296
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Release No.
34-102614
File Number:
3-20622
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Release No.
34-102611
File Number:
3-22266
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Release No.
34-102610
File Number:
3-22292
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Release No.
34-102572
File Number:
3-22298
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Release No.
34-102567
File Number:
3-22302
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Release No.
34-102563
File Number:
3-22261
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Release No.
34-102562
File Number:
3-22299
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Release No.
34-102561
File Number:
3-22287
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Release No.
34-102549
File Number:
3-22241
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Release No.
34-102547
File Number:
3-22257
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Release No.
34-102557
File Number:
3-20808
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Release No.
34-102545
File Number:
3-22240
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Release No.
34-102544
File Number:
3-22042
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Release No.
34-102543
File Number:
3-22232
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Release No.
34-102538
File Number:
3-19896
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Release No.
34-102533
File Number:
3-16424
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Release No.
33-11365
File Number:
3-21243
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Release No.
34-102505
File Number:
3-21822
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Release No.
34-102501
File Number:
3-22326
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Release No.
34-102482
File Number:
3-22276
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Release No.
34-102472, IA-6859
File Number:
3-22286
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Release No.
34-102455
File Number:
3-22319
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Release No.
34-102453
File Number:
3-22284
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Release No.
34-102432
File Number:
3-22318
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Release No.
34-102435
File Number:
3-22397
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Release No.
34-102411
File Number:
3-22250
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Release No.
34-102418
File Number:
3-21764
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Release No.
34-102421, IA-6854
File Number:
3-22165
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Release No.
34-102415
File Number:
3-22297
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Release No.
34-102412
File Number:
3-21880
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Release No.
34-102403
File Number:
3-21206
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Release No.
34-102406, IA-6852
File Number:
3-21963
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Release No.
IA-6851
File Number:
3-19733
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Release No.
34-102383
File Number:
3-22016
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Release No.
34-102382
File Number:
3-21726
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Release No.
IA-6849
File Number:
3-21525
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Release No.
34-102364
File Number:
3-22304
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Release No.
34-102363
File Number:
3-22301
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Release No.
34-102362
File Number:
3-22315
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Release No.
34-102361
File Number:
3-22297
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Release No.
34-102352, IA-6844
File Number:
3-22000
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Release No.
34-102351, IA-6843
File Number:
3-21768
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Release No.
34-102349, IA-6841
File Number:
3-21994
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Release No.
34-102347
File Number:
3-21998
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Release No.
34-102345
File Number:
3-22250
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Release No.
34-102346
File Number:
3-21852
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Release No.
34-102348, IA-6840
File Number:
3-22006
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Release No.
34-102350, IA-6842
File Number:
3-22002
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Release No.
34-102354, IA-6846
File Number:
3-21849
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Release No.
34-102355, IA-6847
File Number:
3-21997
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