Commission Opinions and Adjudicatory Orders
Between October 1, 2025, and November 12, 2025, the Commission experienced a lapse in appropriations. In light of the lapse, the Commission issued an order staying administrative proceedings. On November 13, 2025, the Commission issued an order lifting the stay and extending dates in the proceedings previously subject to the stay.
Below is a chronological list of opinions and orders issued by the Commission in administrative proceedings, including those adjudicating appeals from initial decisions issued by administrative law judges or from action taken by self-regulatory organizations (such as FINRA) or the Public Company Accounting Oversight Board. The opinions and orders linked below also may be found on the individual case pages linked on the Open Litigated Administrative Proceedings and Closed Litigated Administrative Proceedings pages, together with selected filings made in those proceedings.
| Date Sort descending | Respondents |
|---|---|
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Release No.
34-39459
File Number:
3-9289
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Release No.
34-39443
File Number:
3-9254
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Release No.
34-39298
File Number:
3-9076
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Release No.
34-39297
File Number:
3-9253
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Release No.
34-39296
File Number:
3-9067
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Release No.
34-39280
File Number:
3-9189
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Release No.
34-39242
File Number:
3-9296
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Release No.
34-37795
File Number:
3-8841
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Release No.
34-39181
File Number:
3-8573
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Release No.
34-39180
File Number:
3-8305
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Release No.
34-39126
File Number:
3-7998
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Release No.
34-39112
See Also:
Court of Appeals Opinion
|
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Release No.
34-39007
File Number:
3-9281
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Release No.
34-38999
File Number:
3-9064
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Release No.
34-38893
File Number:
3-8801
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Release No.
34-38815
File Number:
3-7164
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Release No.
34-38742
File Number:
3-8370
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Release No.
34-38705
File Number:
3-8294
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Release No.
34-38658
File Number:
3-8832
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Release No.
34-38657
File Number:
3-8509
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Release No.
34-38570
File Number:
3-9023
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Release No.
34-38487
File Number:
3-8820
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Release No.
34-38486
File Number:
3-8994
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Release No.
34-38485
File Number:
3-8230
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Release No.
34-38440
File Number:
3-8986
|
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Release No.
34-38423, 34-38815
File Number:
3-7164
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Release No.
34-38418
File Number:
3-9039
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Release No.
34-38390
File Number:
3-9005
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Release No.
34-38389
File Number:
3-8803
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Release No.
34-38373
File Number:
3-8232
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Release No.
34-38183
See Also:
Court of Appeals Opinion
File Number:
3-6776
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