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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
Release No. 34-45161
Release No. 33-8031
File Number: 3-9042
Release No. 34-44956
File Number: 3-9932r
Release No. 34-44953
File Number: 3-10193
Release No. 34-44945
File Number: 3-10393
Release No. 34-44944
File Number: 3-10403
Release No. 34-44935
File Number: 3-8966
Release No. 34-44933
File Number: 3-9759
Release No. 34-44632
File Number: 3-9964
Release No. 34-44627
File Number: 3-10202
Release No. 34-44624
File Number: 3-9448
Release No. 34-43033
File Number: 3-4627
Release No. 34-44367
File Number: 3-10250
Release No. 34-44357
File Number: 3-9941
Release No. 34-44329
File Number: 3-9921
Release No. 34-44328
Release No. 34-44239
File Number: 3-10349
Release No. 34-44224
File Number: 3-10009
Release No. 34-44205
File Number: 3-8327-EAJ
Release No. 34-44186
File Number: 3-9484
Release No. 34-44086
Release No. 34-43991
File Number: 3-10001
Release No. 34-43963
File Number: 3-9032
Release No. 34-43929
File Number: 3-8543
Release No. 34-43889
File Number: 3-10116
Release No. 34-43884
File Number: 3-9793
Release No. 34-43862
File Number: 3-9500
Release No. 34-43842
File Number: 3-9114
Release No. ia-1918
File Number: 3-9725