ALJ Orders
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.
During enforcement proceedings assigned to one of the SEC's administrative law judges (ALJs), a judge may issue orders to schedule hearings, rule on motions or the admissibility of evidence, or otherwise communicate information to the parties involved.
View orders arranged by date below.
Related Resources
| Date Sort descending | Respondents |
|---|---|
|
Release No.
AP-6346
File Number:
3-17883
|
|
|
Release No.
AP-6347
File Number:
3-17886
|
|
|
Release No.
AP-6348
File Number:
3-18492
|
|
|
Release No.
AP-6349
File Number:
3-17621
|
|
|
Release No.
AP-6350
File Number:
3-15168
|
|
|
Release No.
AP-6351
File Number:
3-15974
|
|
|
Release No.
AP-6352
File Number:
3-18480
|
|
|
Release No.
AP-6353
File Number:
3-18129
|
|
|
Release No.
AP-6354
File Number:
3-15255
|
|
|
Release No.
AP-6342
File Number:
3-16509
|
|
|
Release No.
AP-6343
File Number:
3-18414
|
|
|
Release No.
AP-6344
File Number:
3-17104
|
|
|
Release No.
AP-6345
File Number:
3-18411
|
|
|
Release No.
AP-6341
File Number:
3-17352
|
|
|
Release No.
AP-6335
File Number:
3-18130
|
|
|
Release No.
AP-6336
File Number:
3-18276
|
|
|
Release No.
AP-6337
File Number:
3-17907
|
|
Angel Oak Capital Partners, LLC Peraza Capital and Investment, LLC Prabhu, Sreeniwas Wells, David W.
Release No.
AP-6338
File Number:
3-17849
|
|
|
Release No.
AP-6339
File Number:
3-15514
|
|
|
Release No.
AP-6340
File Number:
3-17818, 3-17819
|
|
|
Release No.
AP-6324
File Number:
3-16353
|
|
|
Release No.
AP-6325
File Number:
3-17883
|
|
|
Release No.
AP-6326
File Number:
3-17228
|
|
|
Release No.
AP-6327
File Number:
3-17352
|
|
|
Release No.
AP-6328
File Number:
3-17959
|
|
|
Release No.
AP-6329
File Number:
3-18204
|
|
|
Release No.
AP-6330
File Number:
3-18207
|
|
|
Release No.
AP-6331
File Number:
3-18492
|
|
|
Release No.
AP-6332
File Number:
3-18496
|
|
|
Release No.
AP-6333
File Number:
3-18551
|
|
|
Release No.
AP-6323
File Number:
3-18414
|
|
|
Release No.
AP-6334
File Number:
3-18220
|
|
|
Release No.
AP-6320
File Number:
3-17558
|
|
|
Release No.
AP-6321
File Number:
3-18454
|
|
|
Release No.
AP-6322
File Number:
3-18481
|
|
|
Release No.
AP-6318
File Number:
3-18199
|
|
|
Release No.
AP-6319
File Number:
3-18099
|
|
|
Release No.
AP-6317
File Number:
3-17888
|
|
|
Release No.
AP-6312
File Number:
3-18141
|
|
|
Release No.
AP-6313
File Number:
3-18157
|
|
|
Release No.
AP-6314
File Number:
3-18179
|
|
|
Release No.
AP-6315
File Number:
3-17990
|
|
|
Release No.
AP-6316
File Number:
3-15255
|
|
|
Release No.
AP-6310
File Number:
3-17990
|
|
|
Release No.
AP-6311
File Number:
3-17984, 3-17985, 3-17986, 3-17987, 3-17988, 3-17989
|
|
|
Release No.
AP-6303
File Number:
3-18480
|
|
|
Release No.
AP-6304
File Number:
3-17935
|
|
|
Release No.
AP-6305
File Number:
3-18535
|
|
|
Release No.
AP-6306
File Number:
3-18550
|
|
|
Release No.
AP-6307
File Number:
3-18551
|
|
|
Release No.
AP-6308
File Number:
3-18534
|
|
|
Release No.
AP-6309
File Number:
3-17352
|
|
|
Release No.
AP-6297
File Number:
3-17595
|
|
|
Release No.
AP-6298
File Number:
3-18191
|
|
|
Release No.
AP-6299
File Number:
3-18484
|
|
|
Release No.
AP-6300
File Number:
3-18023
|
|
|
Release No.
AP-6301
File Number:
3-18190
|
|
|
Release No.
AP-6302
File Number:
3-18106
|
|
|
Release No.
AP-6295
File Number:
3-17115
|
|
|
Release No.
AP-6296
File Number:
3-18098
|
|
|
Release No.
AP-6289
File Number:
3-18155
|
|
|
Release No.
AP-6290
File Number:
3-17621
|
|
|
Release No.
AP-6291
File Number:
3-17977
|
|
|
Release No.
AP-6292
File Number:
3-17693
|
|
|
Release No.
AP-6293
File Number:
3-16386
|
|
|
Release No.
AP-6294
File Number:
3-18170
|
|
|
Release No.
AP-6282
File Number:
3-18149
|
|
|
Release No.
AP-6283
File Number:
3-16965
|
|
|
Release No.
AP-6284
File Number:
3-16509
|
|
|
Release No.
AP-6285
File Number:
3-16182
|
|
|
Release No.
AP-6286
File Number:
3-17828
|
|
|
Release No.
AP-6287
File Number:
3-15974
|
|
|
Release No.
AP-6288
File Number:
3-18500
|
|
|
Release No.
AP-6276
File Number:
3-18082
|
|
|
Release No.
AP-6277
File Number:
3-18153
|
|
|
Release No.
AP-6278
File Number:
3-18189
|
|
|
Release No.
AP-6279
File Number:
3-17848
|
|
|
Release No.
AP-6280
File Number:
3-18077
|
|
|
Release No.
AP-6281
File Number:
3-15168
|
|
|
Release No.
AP-6275
File Number:
3-17650
|
|
|
Release No.
AP-6270
File Number:
3-18017
|
|
|
Release No.
AP-6271
File Number:
3-18545
|
|
|
Release No.
AP-6272
File Number:
3-17029
|
|
|
Release No.
AP-6273
File Number:
3-18037
|
|
Angel Oak Capital Partners, LLC Peraza Capital and Investment, LLC Prabhu, Sreeniwas Wells, David W.
Release No.
AP-6274
File Number:
3-17849
|
|
|
Release No.
AP-6268
File Number:
3-18552
|
|
|
Release No.
AP-6269
File Number:
3-18271
|
|
|
Release No.
AP-6264
File Number:
3-18148
|
|
|
Release No.
AP-6265
File Number:
3-18106
|
|
|
Release No.
AP-6266
File Number:
3-18038
|
|
|
Release No.
AP-6267
File Number:
3-18176
|
|
|
Release No.
AP-6261
File Number:
3-18103
|
|
|
Release No.
AP-6262
File Number:
3-18193
|
|
|
Release No.
AP-6263
File Number:
3-17352
|
|
|
Release No.
AP-6256
File Number:
3-15446
|
|
|
Release No.
AP-6257
File Number:
3-17743
|
|
|
Release No.
AP-6258
File Number:
3-18156
|
|
|
Release No.
AP-6259
File Number:
3-18098
|
|
|
Release No.
AP-6260
File Number:
3-18288
|
|
|
Release No.
AP-6251
File Number:
3-18489
|