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.
34-38076
File Number:
3-8889
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Release No.
34-38029
File Number:
3-8936
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Release No.
34-37991
File Number:
3-8639
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Release No.
34-37990
File Number:
3-8395
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Release No.
34-37955
File Number:
3-8990
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Release No.
34-37954
File Number:
3-8893
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Release No.
34-37953
File Number:
3-8971
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Release No.
34-37952
File Number:
3-8962
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Release No.
34-37919A
File Number:
3-8868
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Release No.
34-37910
File Number:
3-8925
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Release No.
34-37895
File Number:
3-8982
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Release No.
34-37866
File Number:
3-8926
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Release No.
34-37865
File Number:
3-8870
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Release No.
34-37867
File Number:
3-8958
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Release No.
34-37849
File Number:
3-8438
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Release No.
34-37835
File Number:
3-8761
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Release No.
34-37613
File Number:
3-8912
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Release No.
34-37611
File Number:
3-8871
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Release No.
34-37601
File Number:
3-8650
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Release No.
34-37600
See Also:
Court of Appeals Opinion
File Number:
3-8519
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Release No.
34-37572
File Number:
3-8013
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Release No.
34-37559
File Number:
3-8702
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Release No.
34-37503
File Number:
3-8927
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Release No.
34-37463
File Number:
3-8894
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Release No.
34-37409
File Number:
3-8725
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Release No.
34-37351
File Number:
3-8521
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Release No.
34-37305
File Number:
3-8722
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Release No.
3437259
File Number:
3-8699
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Release No.
34-37218
File Number:
3-8706
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Release No.
34-37217
File Number:
3-8807
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Release No.
34-37170
File Number:
3-8888
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Release No.
34-37156
File Number:
3-8257
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Release No.
34-37092
File Number:
3-8743
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Release No.
34-37091
File Number:
3-8721
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Release No.
34-37073
File Number:
3-8792
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Release No.
34-37072
File Number:
3-8768
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Release No.
34-37071
File Number:
3-8775
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Release No.
34-37075
File Number:
3-8654
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Release No.
34-37074
File Number:
3-8697
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Release No.
34-37069
File Number:
3-8676
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Release No.
34-37070
File Number:
3-8751
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