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.
34-39459
File Number:
3-9289
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Release No.
34-39443
File Number:
3-9254
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Release No.
34-39298
File Number:
3-9076
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Release No.
34-39297
File Number:
3-9253
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Release No.
34-39296
File Number:
3-9067
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Release No.
34-39280
File Number:
3-9189
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Release No.
34-39242
File Number:
3-9296
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Release No.
34-37795
File Number:
3-8841
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Release No.
34-39181
File Number:
3-8573
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Release No.
34-39180
File Number:
3-8305
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Release No.
34-39126
File Number:
3-7998
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Release No.
34-39112
See Also:
Court of Appeals Opinion
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Release No.
34-39007
File Number:
3-9281
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Release No.
34-38999
File Number:
3-9064
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Release No.
34-38893
File Number:
3-8801
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Release No.
34-38815
File Number:
3-7164
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Release No.
34-38742
File Number:
3-8370
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Release No.
34-38705
File Number:
3-8294
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Release No.
34-38658
File Number:
3-8832
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Release No.
34-38657
File Number:
3-8509
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Release No.
34-38570
File Number:
3-9023
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Release No.
34-38487
File Number:
3-8820
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Release No.
34-38486
File Number:
3-8994
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Release No.
34-38485
File Number:
3-8230
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Release No.
34-38440
File Number:
3-8986
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Release No.
34-38423, 34-38815
File Number:
3-7164
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Release No.
34-38418
File Number:
3-9039
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Release No.
34-38389
File Number:
3-8803
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Release No.
34-38390
File Number:
3-9005
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Release No.
34-38373
File Number:
3-8232
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Release No.
34-38183
See Also:
Court of Appeals Opinion
File Number:
3-6776
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