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.
34-98687
File Number:
3-21443
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Release No.
34-98685
File Number:
3-21001
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Release No.
34-98683
File Number:
3-21439
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Release No.
34-98682
File Number:
3-21442
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Release No.
34-98681
File Number:
3-21440
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Release No.
34-98679
File Number:
3-21383
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Release No.
34-98677
File Number:
3-21381
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Release No.
34-98675
File Number:
3-21384
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Release No.
34-98674
File Number:
3-20847
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Release No.
34-98673
File Number:
3-20633
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Release No.
34-98670
File Number:
3-13344-rtv
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Release No.
34-98671
File Number:
3-21024
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Release No.
34-98634
File Number:
3-18979
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Release No.
34-98588
File Number:
3-21378
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Release No.
34-98587
File Number:
3-21374
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Release No.
34-98581
File Number:
3-21379
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Release No.
34-98580
File Number:
3-21377
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Release No.
34-98579
File Number:
3-21343
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Release No.
33-11246, 34-98602, IA-6436, IC-35024
File Number:
3-15430-rtv
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Release No.
34-98578
File Number:
3-20636
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Release No.
33-11242, 34-98554
File Number:
3-16509
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Release No.
34-98500
File Number:
3-18567
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Release No.
34-98498
File Number:
3-20362
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Release No.
IA-6430
File Number:
3-21064
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Release No.
34-98470
File Number:
3-20639
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Release No.
34-98468
File Number:
3-20743
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Release No.
34-98442
File Number:
3-19185
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Release No.
34-98447
File Number:
3-21582
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Release No.
34-98441
File Number:
3-20807
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Release No.
34-98435
File Number:
3-20636
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Release No.
34-98434
File Number:
3-19814
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Release No.
34-98433
File Number:
3-21503
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Release No.
34-98428
File Number:
3-20387
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Release No.
34-98427
File Number:
3-20811
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Release No.
34-98421, IA-6424
File Number:
3-20874
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Release No.
34-98404
File Number:
3-19892
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Release No.
34-98405
File Number:
3-20406
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Release No.
34-98403
File Number:
3-21529
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Release No.
34-98402
File Number:
3-20407
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Release No.
IA-6420
File Number:
3-20282
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Release No.
34-98373, IA-6418
File Number:
3-20796
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Release No.
IA-6417
File Number:
3-19617
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Release No.
IA-6416
File Number:
3-20941
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Release No.
34-98372
File Number:
3-20808
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Release No.
34-98359
File Number:
3-21457
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Release No.
34-98350
File Number:
3-19896
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Release No.
34-98348
File Number:
3-20922
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Release No.
34-98342
File Number:
3-18999
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Release No.
34-98336
File Number:
3-19652
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Release No.
34-98334
File Number:
3-21458
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Release No.
34-98333, IA-6403
File Number:
3-20839
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Release No.
34-98329, AAER-4457
File Number:
3-17228
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Release No.
IA-6402
File Number:
3-21525
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Release No.
IA-6401
File Number:
3-20235
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Release No.
34-98319
File Number:
3-20914
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Release No.
34-98316
File Number:
3-19666
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Release No.
34-98314
File Number:
3-20913
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Release No.
34-98312
File Number:
3-20915
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Release No.
34-98311
File Number:
3-20917
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Release No.
34-98308
File Number:
3-21263
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Release No.
34-98291
File Number:
3-20653
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Release No.
34-98287
File Number:
3-13099
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Release No.
34-98286
File Number:
3-20305
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Release No.
34-98283, IA-6397
File Number:
3-20695
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Release No.
34-98275, AAER-4454
File Number:
3-21298
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Release No.
34-98274
File Number:
3-21402
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Release No.
34-98273
File Number:
3-20659
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Release No.
IA-6389
File Number:
3-19733
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Release No.
34-98245
File Number:
3-18979
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Release No.
34-98242
File Number:
3-21039
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Release No.
34-98241
File Number:
3-21344
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Release No.
34-98240
File Number:
3-20807
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Release No.
34-98239
File Number:
3-20999
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Release No.
34-98230
File Number:
3-20380
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Release No.
34-98224
File Number:
3-14597
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Release No.
IA-6386
File Number:
3-21364
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Release No.
34-98211
File Number:
3-21257
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Release No.
34-98210
File Number:
3-20893
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Release No.
34-98201
File Number:
3-21503
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Release No.
34-98205
File Number:
3-20839
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Release No.
34-98204, IA-6385
File Number:
3-21345
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Release No.
34-98203
File Number:
3-19892
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Release No.
34-98178
File Number:
3-20705
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Release No.
34-98177
File Number:
3-20647
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Release No.
34-98175
File Number:
3-21471
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Release No.
34-98174
File Number:
3-19185
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Release No.
34-98167
File Number:
3-21211
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Release No.
34-98164
File Number:
3-21389
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Release No.
34-98162
File Number:
3-21446
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Release No.
34-98161
File Number:
3-21458
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Release No.
34-98155
File Number:
3-21444
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Release No.
34-98152
File Number:
3-21448
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Release No.
34-98145
File Number:
3-21449
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Release No.
34-98144
File Number:
3-21447
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Release No.
34-98135
File Number:
3-21456
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Release No.
34-98134
File Number:
3-21516
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Release No.
IA-6376
File Number:
3-21333
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Release No.
IA-6375
File Number:
3-21278
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Release No.
34-98125
File Number:
3-21387
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Release No.
34-98124
File Number:
3-15701
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