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.
34-100071
File Number:
3-21714
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Release No.
34-100070
File Number:
3-21687
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Release No.
34-100069
File Number:
3-21661
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Release No.
34-100063
File Number:
3-21214
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Release No.
IA-6599
File Number:
3-21121
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Release No.
34-100058
File Number:
3-21924
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Release No.
34-100057
File Number:
3-21790
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Release No.
34-100056
File Number:
3-21878
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Release No.
34-100055
File Number:
3-21873
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Release No.
34-100049, IA-6598
File Number:
3-21280
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Release No.
33-11282, 34-100035, AAER-4499
File Number:
3-21831
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Release No.
34-99999
File Number:
3-21822
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Release No.
34-100000
File Number:
3-20622
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Release No.
34-99987
File Number:
3-21862
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Release No.
34-99986
File Number:
3-21864
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Release No.
34-99980
File Number:
3-19787
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Release No.
34-99977
File Number:
3-21292
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Release No.
34-99976, IA-6592
File Number:
3-21152
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Release No.
34-99964
File Number:
3-21390
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Release No.
34-99957
File Number:
3-20703
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Release No.
34-99956
File Number:
3-21874
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Release No.
34-99943
File Number:
3-21880
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Release No.
34-99940
File Number:
3-18989
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Release No.
IA-6583
File Number:
3-20927
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Release No.
34-99935
File Number:
3-21841
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Release No.
34-99925
File Number:
3-21222
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Release No.
34-99919
File Number:
3-20127
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Release No.
34-99918
File Number:
3-20209
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Release No.
34-99917, IA-6582
File Number:
3-21030
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Release No.
34-99912
File Number:
3-21878
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Release No.
34-99905
File Number:
3-21467
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Release No.
34-99893
File Number:
3-21139
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Release No.
34-99891
File Number:
3-21872
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Release No.
34-99885
File Number:
3-21726
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Release No.
34-99884
File Number:
3-21654
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Release No.
34-99883
File Number:
3-21206
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Release No.
34-99870
File Number:
3-21865
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Release No.
34-99869
File Number:
3-21001
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Release No.
34-99868
File Number:
3-21626
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Release No.
34-99867
File Number:
3-20922
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Release No.
34-99866
File Number:
3-21263
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Release No.
34-99865
File Number:
3-18989
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Release No.
34-99864
File Number:
3-21387
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Release No.
34-99861
File Number:
3-21693
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Release No.
34-99860
File Number:
3-21689
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Release No.
IA-6579
File Number:
3-21333
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Release No.
34-99858
File Number:
3-21790
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Release No.
34-99856
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Release No.
34-99855
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Release No.
34-99857
File Number:
3-21841
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Release No.
34-99854
File Number:
3-21685
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Release No.
34-99853
File Number:
3-21684
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Release No.
34-99837
File Number:
3-21680
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Release No.
34-99836
File Number:
3-21683
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Release No.
33-11279, AAER-4495, 34-99835
File Number:
3-21831
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Release No.
34-99820
File Number:
3-21677
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Release No.
34-99816
File Number:
3-21679
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Release No.
34-99821
File Number:
3-21595
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Release No.
34-99781
File Number:
3-21647
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Release No.
34-99795
File Number:
3-21676
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Release No.
34-99791, IA-6577
File Number:
3-21280
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Release No.
34-99775
File Number:
3-21620
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Release No.
34-99767
File Number:
3-21611
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Release No.
34-99768
File Number:
3-20639
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Release No.
34-99763
File Number:
3-21211
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Release No.
IA-6575
File Number:
3-21064
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Release No.
34-99755
File Number:
3-21788
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Release No.
34-99754
File Number:
3-20811
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Release No.
34-99753
File Number:
3-20387
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Release No.
34-99738
File Number:
3-21302
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Release No.
IA-6572
File Number:
3-20531
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Release No.
34-99732
File Number:
3-21011
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Release No.
34-99730
File Number:
3-21871
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Release No.
34-99717
File Number:
3-19406
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Release No.
34-99714
File Number:
3-21841
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Release No.
33-11276, 34-99716, AAER-4492
File Number:
3-21831
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Release No.
34-99707
File Number:
3-20922
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Release No.
34-99706
File Number:
3-19896
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Release No.
34-99705
File Number:
3-18999
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Release No.
34-99703
File Number:
3-20808
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Release No.
IA-6571
File Number:
3-19733
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Release No.
34-99702
File Number:
3-20659
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Release No.
IA-6570
File Number:
3-20928
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Release No.
34-99694, IA-6569
File Number:
3-20823
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Release No.
34-99662
File Number:
3-20362
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Release No.
IA-6566
File Number:
3-21125
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Release No.
34-99636
File Number:
3-21702
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Release No.
IA-6564
File Number:
3-21364
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Release No.
34-99625
File Number:
3-18989
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Release No.
34-99619
File Number:
3-21796
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Release No.
34-99613 , IA-6563
File Number:
3-19951
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Release No.
34-99600
File Number:
3-21681
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Release No.
34-99602
File Number:
3-20380
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Release No.
34-99601
File Number:
3-21162
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Release No.
34-99596
File Number:
3-20646
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Release No.
34-99595
File Number:
3-21671
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Release No.
34-99585
File Number:
3-21529
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Release No.
34-99584
File Number:
3-21220
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Release No.
34-99576
File Number:
3-21670
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Release No.
34-99575
File Number:
3-21624
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