ALJ Initial Decisions

Between January 31, 2026, and February 3, 2026, the Commission experienced a lapse in appropriations. In light of the lapse, the Commission issued an order staying certain administrative proceedings. On February 4, 2026, the Commission issued an order lifting the stay and extending dates in the proceedings previously subject to the stay.
 

Administrative Law Judges issued the following Initial Decisions pursuant to 5 U.S.C § 557 and 17 C.F.R. § 201.360(a).

Related Resources:

Date Sort descending Respondents
Release No. 729
File Number: 3-16013
Release No. 728
File Number: 3-15878
Release No. 725
File Number: 3-16282
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File Number: 3-16044
Release No. 727
File Number: 3-15617
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File Number: 3-16266
Release No. 724
File Number: 3-16140
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File Number: 3-16260
Release No. 720
File Number: 3-16208
Release No. 721
File Number: 3-16273
Release No. 722
File Number: 3-16222
Release No. 717
File Number: 3-16280
Release No. 718
File Number: 3-15989
Release No. 716
File Number: 3-16282
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File Number: 3-16221
Release No. 715
File Number: 3-16247
Release No. 713
File Number: 3-16005
Release No. 712
File Number: 3-15993
Release No. 711
File Number: 3-16261
Release No. 710
File Number: 3-15974
Release No. 709
File Number: 3-16105
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File Number: 3-15887
Release No. 706
File Number: 3-15737
Release No. 707
File Number: 3-16059
Release No. 704
File Number: 3-16043
Release No. 705
File Number: 3-15820
Release No. 703
File Number: 3-15942
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File Number: 3-16173
Release No. 700
File Number: 3-16136
Release No. 701
File Number: 3-15649
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File Number: 3-16105
Release No. 697
File Number: 3-15937
Release No. 698
File Number: 3-15848
Release No. 696
File Number: 3-16043
Release No. 694
File Number: 3-16060
Release No. 695
File Number: 3-16057
Release No. 693
File Number: 3-15255
Release No. 692
File Number: 3-16137, 3-16136
Release No. 690
File Number: 3-15925
Release No. 691
File Number: 3-16135
Release No. 689
File Number: 3-16106
Release No. 688
File Number: 3-15799
Release No. 686
File Number: 3-16052
Release No. 687
File Number: 3-16055
Release No. 685
File Number: 3-15844
Release No. 684
File Number: 3-16036
Release No. 683
File Number: 3-16053
Release No. 682
File Number: 3-16039
Release No. 681
File Number: 3-16041
Release No. 678
File Number: 3-16042
Release No. 679
File Number: 3-16053
Release No. 680
File Number: 3-16016
Release No. 676
File Number: 3-16054
Release No. 677
File Number: 3-16040
Release No. 673
File Number: 3-15659
Release No. 674
File Number: 3-16018
Release No. 675
File Number: 3-16023
Release No. 671
File Number: 3-16003
Release No. 672
File Number: 3-15625
Release No. 670
File Number: 3-16011
Release No. 669
File Number: 3-16002
Release No. 668
File Number: 3-16010, 3-16021
Release No. 666
File Number: 3-15993
Release No. 667
File Number: 3-16021, 3-16010
Release No. 665
File Number: 3-16004
Release No. 663
File Number: 3-15764
Release No. 664
File Number: 3-16024
Release No. 662
File Number: 3-15979
Release No. 661
File Number: 3-15954
Release No. 660
File Number: 3-15830
Release No. 659
File Number: 3-15862
Release No. 658
File Number: 3-15519
Release No. 657
File Number: 3-15942
Release No. 656
File Number: 3-15969
Release No. 654
File Number: 3-15954
Release No. 655
File Number: 3-15934
Release No. 653
File Number: 3-15941
Release No. 652
File Number: 3-15684, 3-15941
Release No. 647
File Number: 3-15920
Release No. 648
File Number: 3-15408
Release No. 649
File Number: 3-15446
Release No. 650
File Number: 3-15953
Release No. 651
File Number: 3-15544
Release No. 645
File Number: 3-15972
Release No. 646
File Number: 3-15864
Release No. 644
File Number: 3-14630
Release No. 634A
File Number: 3-15923
Release No. 643
File Number: 3-15947
Release No. 642
File Number: 3-15389
Release No. 640
File Number: 3-15921
Release No. 641
File Number: 3-15900
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File Number: 3-15932
Release No. 638
File Number: 3-15671
Release No. 637
File Number: 3-15754
Release No. 635
File Number: 3-15901
Release No. 636
File Number: 3-15914
Release No. 634
File Number: 3-15923
Release No. 629
File Number: 3-15909
Release No. 630
File Number: 3-15910
Release No. 631
File Number: 3-15931