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 |
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Release No.
34-84947
File Number:
3-18769
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Release No.
34-84942
File Number:
3-18849
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Release No.
34-84917
File Number:
3-18045
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Release No.
34-84906
File Number:
3-18744
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Release No.
34-84884
File Number:
3-18881
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Release No.
34-84905
File Number:
3-18741
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Release No.
34-84904
File Number:
3-18743
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Release No.
34-84903
File Number:
3-18742
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Release No.
34-84886
File Number:
3-18894
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Release No.
34-84848
File Number:
3-18737
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Release No.
34-84840
File Number:
3-18736
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Release No.
34-84839
File Number:
3-18735
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Release No.
34-84827
File Number:
3-15351, 3-15364, 3-15394, 3-15600, 3-15773, 3-15774, 3-16006, 3-16188, 3-16204, 3-16220, 3-16320, 3-16330, 3-16356, 3-16423, 3-16490, 3-16526, 3-16574, 3-16685, 3-16724, 3-16793, 3-16834, 3-16918, 3-16960, 3-17000, 3-17040, 3-17066, 3-17105, 3-17138, 3-17176, 3-17208, 3-17244, 3-17331, 3-17663, 3-17702, 3-17738, 3-17787, 3-17877, 3-18002, 3-18010, 3-18057, 3-18094, 3-18144, 3-18145, 3-18248, 3-18286, 3-18310, 3-18313, 3-18315, 3-18345, 3-18362, 3-18365, 3-18383, 3-18441, 3-18525, 3-18572, 3-18680
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Release No.
34-84808
File Number:
3-18553
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Release No.
34-84797
File Number:
3-18731
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Release No.
34-84796
File Number:
3-18732
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Release No.
34-84795
File Number:
3-18895
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Release No.
34-84800
File Number:
3-18734
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Release No.
34-84793
File Number:
3-17342
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Release No.
34-84799
File Number:
3-18733
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Release No.
34-84792
File Number:
3-18883
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Release No.
34-84774
File Number:
3-18882
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Release No.
33-10583, 34-84776, IC-33319
File Number:
3-16318
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Release No.
34-84756
File Number:
3-18727
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Release No.
34-84757
File Number:
3-18725
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Release No.
34-84736
File Number:
3-18720
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Release No.
34-84726
File Number:
3-17560r, 3-17560
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Release No.
34-84744
File Number:
3-18722
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Release No.
34-84743
File Number:
3-18721
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Release No.
34-84740
File Number:
3-18881
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Release No.
34-84720
File Number:
3-18701
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Release No.
34-84722
File Number:
3-18879
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Release No.
34-84721
File Number:
3-18702
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Release No.
34-84717
File Number:
3-18699
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Release No.
34-84716
File Number:
3-18700
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Release No.
34-84708
File Number:
3-18691
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Release No.
34-84706
File Number:
3-18690
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Release No.
34-84705
File Number:
3-18695
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Release No.
34-84711
File Number:
3-18769
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Release No.
34-84703
File Number:
3-18686
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Release No.
34-84702
File Number:
3-18687
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Release No.
34-84701
File Number:
3-18694
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Release No.
34-84700
File Number:
3-18692
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Release No.
34-84704
File Number:
3-18697
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Release No.
34-84678
File Number:
3-18671
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Release No.
34-84688
File Number:
3-18676
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Release No.
34-84694
File Number:
3-18877
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Release No.
34-84677
File Number:
3-18670
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Release No.
34-84687
File Number:
3-18675
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Release No.
34-84692
File Number:
3-18674
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Release No.
34-84686
File Number:
3-18678
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Release No.
34-84691
File Number:
3-18672
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Release No.
34-84681
File Number:
3-18679
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Release No.
34-84690
File Number:
3-18677
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Release No.
34-84666
File Number:
3-18668
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Release No.
34-84664
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Release No.
34-84657
File Number:
3-18667
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Release No.
34-84656
File Number:
3-18664
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Release No.
34-84655
File Number:
3-18666
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Release No.
34-84627
File Number:
3-18790
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Release No.
34-84615
File Number:
3-17758
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Release No.
34-84597
File Number:
3-18869
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Release No.
34-84550
File Number:
3-18776
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Release No.
34-84552
File Number:
3-18733
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Release No.
34-84551
File Number:
3-18784
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Release No.
34-84530
File Number:
3-18580
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Release No.
34-84529
File Number:
3-18045
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Release No.
34-84513
File Number:
3-18262
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Release No.
34-84500
File Number:
3-17909
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Release No.
34-84499
File Number:
3-18150
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Release No.
34-84469
File Number:
3-18792
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Release No.
34-84455
File Number:
3-18612
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Release No.
34-84447
File Number:
3-18832
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Release No.
34-84433
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Release No.
34-84432
File Number:
3-15350
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Release No.
34-84334
File Number:
3-18256
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Release No.
34-84324
File Number:
3-17963
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Release No.
34-84335
File Number:
3-18262
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Release No.
34-84322
File Number:
3-17909
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Release No.
34-84321
File Number:
3-18432
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Release No.
34-84254
File Number:
3-18612
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Release No.
IA-5026
File Number:
3-14889
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Release No.
IA-5025, IC-33234
File Number:
3-14899
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Release No.
IA-5030
File Number:
3-15054
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Release No.
IA-5021
File Number:
3-15424
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Release No.
IA-5029
File Number:
3-14542
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Release No.
IA-5020
File Number:
3-15052
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Release No.
IA-5027
File Number:
3-16641
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Release No.
34-84155
File Number:
3-14980
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Release No.
34-84165
File Number:
3-18637
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Release No.
34-84154
File Number:
3-14949
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Release No.
34-84159
File Number:
3-15554
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Release No.
34-84157, IA-5028
File Number:
3-16691
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Release No.
34-84156
File Number:
3-15121
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Release No.
34-84146, IA-5023, IC-33232
File Number:
3-16187
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Release No.
34-84151
File Number:
3-15765
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Release No.
34-84145, IA-5022
File Number:
3-16294
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Release No.
34-84150
File Number:
3-15895
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Release No.
34-84144
File Number:
3-15524
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Release No.
34-84149, IA-5024
File Number:
3-15376
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