Administrative Proceeding File No. 3-22163

Respondents

Regions Securities LLC
Release Date Release Number Other Release Numbers Name of Document
34-102860
  • IA-6874
 Order Denying Motions to Modify or Amend and Stay Settled Orders
34-101140 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Release Date Release Number Other Release Numbers Name of Document
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Division of Enforcement’s Opposition to Respondent’s Motion to Modify Ordered Undertakings in Administrative Proceeding, Stay Effectiveness
Respondent Regions' Motion to Modify Ordered Undertakings in Administrative Proceeding and for Motion to Stay
Respondent Regions' Reply Brief ISO Motion to Modify Ordered Undertakings in Administrative Proceeding and Motion for Stay
Order Denying Motions to Modify or Amend and Stay Settled Orders

Documents