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.
34-68506
File Number:
3-14770
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Release No.
34-68505
File Number:
3-14711
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Release No.
34-68462, IA-3517
File Number:
3-14481
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Release No.
33-9376, 34-68464, IA-3518, IC-30307
File Number:
3-15015
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Release No.
IA-3513
File Number:
3-14162
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Release No.
34-68431, AAER-3427
File Number:
3-13797
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Release No.
34-68379
File Number:
3-14911
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Release No.
34-68348, IA-3510, IC-30289
File Number:
3-14697
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Release No.
34-68277
File Number:
3-14390
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Release No.
34-68214
File Number:
3-15020
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Release No.
34-68210
File Number:
3-14613
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Release No.
34-68078
File Number:
3-14770
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Release No.
34-68072
File Number:
3-14871
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Release No.
34-68046
File Number:
3-14892
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Release No.
34-68014
File Number:
3-14988
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Release No.
34-67930
File Number:
3-14945
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Release No.
34-67900, AAER-3407
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Release No.
34-67795
File Number:
3-11366
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Release No.
34-67687
File Number:
3-14864
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Release No.
34-67604
File Number:
3-14959
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Release No.
IA-3438
File Number:
3-14190
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Release No.
34-67503
File Number:
3-14768
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Ronald S. Bloomfield, Robert Gorgia, and John Earl Martin, Sr. (Order Directing Additional Briefing)
Release No.
33-9334, 34-67397
File Number:
3-13871
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Release No.
34-67313
File Number:
3-14401
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Release No.
34-67312
File Number:
3-14271
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Release No.
34-67104
File Number:
3-14706
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Release No.
34-67089
File Number:
3-14818
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Release No.
34-66842
File Number:
3-14496
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Release No.
33-9311
File Number:
3-13532
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Release No.
33-9307, 34-66695, IA-3387, IC-30023
File Number:
3-14081
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Release No.
33-9304, 34-66618, IA-3386, IC-30013
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Release No.
34-66618
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Release No.
34-66611
File Number:
3-13687
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Release No.
34-66549
File Number:
3-14544
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Release No.
34-66530
File Number:
3-14486
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Release No.
33-9299, 34-66469, IA-3376
File Number:
3-13532
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Release No.
34-66467
File Number:
3-14417
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Release No.
34-66433
File Number:
3-14609
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Release No.
34-66389
File Number:
3-14555
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Release No.
34-66387, IA-3370, IC-29945
File Number:
3-14355
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Release No.
IC-29948
File Number:
3-14055
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Release No.
34-66373
File Number:
3-14302
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Release No.
34-66361
File Number:
3-14556
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Release No.
34-66260, AAER-3357
File Number:
3-14629
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Release No.
34-66200
File Number:
3-14308
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Release No.
34-66173
File Number:
3-14618
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Release No.
AAER-3354
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Release No.
34-66114
See Also:
U.S. Court of Appeals Opinion
File Number:
3-14307
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Release No.
34-66113
File Number:
3-14195
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