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.
34-101129
File Number:
3-21951
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Release No.
IA-6697
File Number:
3-20928
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Release No.
34-101024
File Number:
3-21011
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Release No.
34-101029
File Number:
3-20387
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Release No.
34-101027
File Number:
3-21503
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Release No.
34-101026
File Number:
3-20639
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Release No.
34-101003
File Number:
3-21626
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Release No.
34-101002, IA-6693
File Number:
3-21963
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Release No.
34-100997
File Number:
3-21211
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Release No.
34-100996
File Number:
3-21261
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Release No.
34-100993
File Number:
3-21973
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Release No.
IA-6689
File Number:
3-20531
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Release No.
34-100987
File Number:
3-21974
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Release No.
34-100985
File Number:
3-21972
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Release No.
34-100981
File Number:
3-19896
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Release No.
34-100980
File Number:
3-20808
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Release No.
33-11300
File Number:
3-21243
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Release No.
34-100891
File Number:
3-21981
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Release No.
34-100883
File Number:
3-21985
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Release No.
34-100868
File Number:
3-21462
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Release No.
34-100817
File Number:
3-20380
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Release No.
34-100805
File Number:
3-21864
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Release No.
34-100794
File Number:
3-21982
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Release No.
34-100788
File Number:
3-21235
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Release No.
34-100786
File Number:
3-21231
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Release No.
34-100778, IA-6664
File Number:
3-20248, 3-20249
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Release No.
34-100777
File Number:
3-20811
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Release No.
34-100762
File Number:
3-20127
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Release No.
34-100759
File Number:
3-20647
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Release No.
34-100758
File Number:
3-20905
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Release No.
34-100757
File Number:
3-20120
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Release No.
34-100747
File Number:
3-21972
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Release No.
34-100745
File Number:
3-21973
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Release No.
34-100744
File Number:
3-21974
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Release No.
34-100741
File Number:
3-21948
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Release No.
34-100730
File Number:
3-20504
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Release No.
34-100729
File Number:
3-20503
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Release No.
34-100713
File Number:
3-21529
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Release No.
34-100660
File Number:
3-21220
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Release No.
IA-6645
File Number:
3-20139
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Release No.
34-100662
File Number:
3-21246
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Release No.
34-100621, IA-6643
File Number:
3-21345
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Release No.
34-100619
File Number:
3-21944
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Release No.
34-100554
File Number:
3-21779
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Release No.
34-100578, IA-6639
File Number:
3-21345
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Release No.
34-100576
File Number:
3-21211
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Release No.
34-100569
File Number:
3-20636
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Release No.
34-100568
File Number:
3-21864
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Release No.
IA-6638
File Number:
3-16245
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Release No.
34-100554
File Number:
3-21779
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Release No.
34-100553
File Number:
3-18999
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Release No.
34-100545
File Number:
3-20860
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Release No.
34-100540
File Number:
3-20659
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Release No.
34-100534
File Number:
3-21402
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Release No.
34-100533
File Number:
3-21390
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Release No.
IA-6637
File Number:
3-20134
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Release No.
34-100529
File Number:
3-20703
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Release No.
34-100511
File Number:
3-21925
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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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