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.
34-100464
File Number:
3-20209
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Release No.
34-100465
File Number:
3-21222
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Release No.
34-100463
File Number:
3-20127
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Release No.
34-100454
File Number:
3-21626
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Release No.
34-100453
File Number:
3-13099
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Release No.
34-100449
File Number:
3-20120
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Release No.
34-100448
File Number:
3-20297
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Release No.
34-100446
File Number:
3-20915
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Release No.
34-100441
File Number:
3-21933
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Release No.
34-100431, IA-6633
File Number:
3-19720
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Release No.
34-100418
File Number:
3-21890
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Release No.
34-100403
File Number:
3-21718
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Release No.
34-100404
File Number:
3-21529
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Release No.
IA-6631
File Number:
3-20139
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Release No.
34-100397
File Number:
3-21865
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Release No.
34-100388
File Number:
3-21888
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Release No.
34-100387
File Number:
3-21885
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Release No.
34-100386
File Number:
3-21889
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Release No.
34-100372
File Number:
3-21884
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Release No.
34-100367
File Number:
3-21887
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Release No.
34-100362
File Number:
3-21503
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Release No.
IA-6630
File Number:
3-20282
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Release No.
34-100355
File Number:
3-20811
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Release No.
34-100354
File Number:
3-20387
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Release No.
34-100353
File Number:
3-20639
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Release No.
34-100322, IA-6626
File Number:
3-20305
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Release No.
IA-6625
File Number:
3-20531
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Release No.
IA-6624
File Number:
3-21333
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Release No.
34-100311
File Number:
3-21866
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Release No.
34-100310
File Number:
3-21869
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Release No.
34-100302
File Number:
3-20808
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Release No.
34-100301
File Number:
3-19896
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Release No.
34-100299
File Number:
3-18999
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Release No.
34-100295
File Number:
3-21870
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Release No.
34-100287
File Number:
3-21880
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Release No.
34-100275
File Number:
3-21264
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Release No.
34-100268
File Number:
3-21865
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Release No.
34-100269
File Number:
3-21867
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Release No.
34-100266
File Number:
3-21726
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Release No.
34-100267
File Number:
3-21001
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Release No.
33-11288
File Number:
3-21243
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Release No.
34-100251
File Number:
3-21925
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Release No.
34-100246
File Number:
3-21871
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Release No.
34-100226
File Number:
3-21578
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Release No.
34-100227
File Number:
3-20380
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Release No.
34-100231, IA-6614
File Number:
3-20091
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Release No.
34-100230
File Number:
3-21933
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Release No.
34-100228
File Number:
3-21915
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Release No.
34-100221
File Number:
3-20400
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Release No.
34-100192
File Number:
3-20913
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Release No.
34-100191
File Number:
3-21159
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Release No.
34-100190
File Number:
3-21160
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Release No.
34-100189
File Number:
3-21582
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Release No.
34-100177
File Number:
3-21933
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Release No.
34-100174
File Number:
3-20905
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Release No.
34-100173
File Number:
3-20647
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Release No.
34-100167
File Number:
3-21864
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Release No.
34-100166
File Number:
3-20816
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Release No.
34-100164
File Number:
3-21664
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Release No.
34-100163
File Number:
3-21696
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Release No.
34-100162
File Number:
3-21665
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Release No.
34-100161, IA-6606
File Number:
3-20839
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Release No.
34-100159
File Number:
3-21740
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Release No.
34-100158
File Number:
3-21035
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Release No.
34-100151
File Number:
3-21701
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Release No.
34-100150
File Number:
3-21713
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Release No.
34-100149
File Number:
3-21698
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Release No.
34-100148
File Number:
3-20705
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Release No.
34-100152
File Number:
3-21246
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Release No.
34-100128
File Number:
3-21924
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Release No.
34-100111
File Number:
3-21658
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Release No.
34-100110
File Number:
3-21656
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Release No.
34-100107
File Number:
3-21663
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Release No.
33-11286
File Number:
3-21032
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Release No.
34-100108
File Number:
3-21529
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Release No.
34-100105
File Number:
3-21604
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Release No.
34-100104
File Number:
3-21598
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Release No.
34-100103
File Number:
3-21599
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Release No.
34-100088
File Number:
3-21471
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Release No.
34-100087
File Number:
3-21597
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Release No.
34-100084
File Number:
3-21594
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Release No.
34-100079
File Number:
3-21715
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Release No.
34-100078
File Number:
3-21739
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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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