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.
34-99574
File Number:
3-21634
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Release No.
34-99573
File Number:
3-21645
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Release No.
34-99565
File Number:
3-21623
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Release No.
34-99564
File Number:
3-20647
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Release No.
34-99562
File Number:
3-20905
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Release No.
34-99561
File Number:
3-20705
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Release No.
34-99558
File Number:
3-18567
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Release No.
33-11272
File Number:
3-21032
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Release No.
34-99563
File Number:
3-21302
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Release No.
34-99542
File Number:
3-21618
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Release No.
34-99543
File Number:
3-21617
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Release No.
34-99544
File Number:
3-21619
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Release No.
34-99547
File Number:
3-21246
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Release No.
34-99546
File Number:
3-20646
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Release No.
34-99536
File Number:
3-21603
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Release No.
34-99539, IA-6557
File Number:
3-19435
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Release No.
IA-6556
File Number:
3-19635
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Release No.
IA-6555
File Number:
3-21364
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Release No.
34-99525
File Number:
3-21596
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Release No.
IA-6554
File Number:
3-16706-rtv
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Release No.
34-99514
File Number:
3-21592
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Release No.
34-99515
File Number:
3-21593
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Release No.
34-99518, AAER-4489
File Number:
3-21298
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Release No.
34-99509, IC-6553
File Number:
3-15046-rtv
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Release No.
34-99506
File Number:
3-21001
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Release No.
34-99493
File Number:
3-19798
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Release No.
34-99486
File Number:
3-21595
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Release No.
IA-6544
File Number:
3-21525
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Release No.
34-99485
File Number:
3-21030
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Release No.
IA-6542
File Number:
3-19733
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Release No.
34-99463
File Number:
3-21818
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Release No.
33-11268, 34-99461, AAER-4486
File Number:
3-21831
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Release No.
34-99453
File Number:
3-21387
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Release No.
34-99448, AAER-4484
File Number:
3-21298
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Release No.
34-99443
File Number:
3-21529
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Release No.
34-99442, IA-6538
File Number:
3-21152
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Release No.
34-99439
File Number:
3-19788
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Release No.
34-99438
File Number:
3-21805
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Release No.
34-99435
File Number:
3-18989
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Release No.
34-99434
File Number:
3-21790
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Release No.
34-99429
File Number:
3-18567
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Release No.
34-99422
File Number:
3-21002
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Release No.
34-99421
File Number:
3-21808
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Release No.
34-99420 , IA-6534
File Number:
3-20823
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Release No.
34-99399
File Number:
3-21779
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Release No.
34-99352
File Number:
3-19734
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Release No.
34-99349
File Number:
3-21620
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Release No.
34-99347
File Number:
3-20646
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Release No.
34-99346
File Number:
3-20703
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Release No.
34-99324
File Number:
3-20682
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Release No.
33-11264, 34-99322, IA-6528, IC-35088
File Number:
3-14680
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Release No.
34-99319
File Number:
3-21035
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Release No.
34-99317
File Number:
3-21656
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Release No.
34-99316
File Number:
3-21658
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Release No.
34-99315
File Number:
3-21654
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Release No.
34-99314
File Number:
3-21805
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Release No.
34-99309
File Number:
3-21222
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Release No.
34-99305
File Number:
3-19406
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Release No.
IA-6527
File Number:
3-21097
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Release No.
IA-6526
File Number:
3-21098
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Release No.
34-99293
File Number:
3-20209
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Release No.
IA-6525
File Number:
3-21125
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Release No.
IA-6524
File Number:
3-21333
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Release No.
34-99285
File Number:
3-20127
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Release No.
IA-6523
File Number:
3-21098
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Release No.
IA-6522
File Number:
3-21097
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Release No.
34-99272
File Number:
3-21694
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Release No.
34-99271
File Number:
3-20914
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Release No.
34-99267
File Number:
3-21253
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Release No.
34-99263, IA-6519
File Number:
3-20678
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Release No.
34-99262
File Number:
3-20973
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Release No.
34-99258
File Number:
3-20893
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Release No.
34-99250
File Number:
3-21818
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Release No.
34-99249
File Number:
3-21790
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Release No.
IA-6518
File Number:
3-21400
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Release No.
IA-6517
File Number:
3-21400
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Release No.
34-99248
File Number:
3-19666
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Release No.
34-99245, IA-6516
File Number:
3-21280
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Release No.
34-99244
File Number:
3-21220
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Release No.
34-99242
File Number:
3-21808
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Release No.
34-99241
File Number:
3-18567
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Release No.
34-99240
File Number:
3-20362
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Release No.
34-99236, IA-6513
File Number:
3-20823
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Release No.
34-99235
File Number:
3-21292
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Release No.
34-99233
File Number:
3-20659
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Release No.
IA-6512
File Number:
3-20235
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Release No.
IA-6511
File Number:
3-21098
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Release No.
IA-6510
File Number:
3-21097
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Release No.
34-99214
File Number:
3-21516
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Release No.
34-99213
File Number:
3-21467
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Release No.
34-99212
File Number:
3-20639
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Release No.
34-99201
File Number:
3-19652
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Release No.
34-99199
File Number:
3-20387
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Release No.
IA-6506
File Number:
3-21121
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Release No.
34-99202
File Number:
3-21694
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Release No.
IA-6505
File Number:
3-21202
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Release No.
34-99194
File Number:
3-20811
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Release No.
34-99188
File Number:
3-21691
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Release No.
34-99173
File Number:
3-21594
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Release No.
34-99159
File Number:
3-20406
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