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.
34-40768
File Number:
3-9394
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Release No.
34-40738
File Number:
3-9575
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Release No.
34-40727
See Also:
Court of Appeals Opinion
File Number:
3-8511
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Release No.
34-40726
File Number:
3-8510
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Release No.
34-40719
File Number:
3-8508
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Release No.
34-40690
File Number:
3-9510
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Release No.
IA-1774
File Number:
3-8854
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Release No.
34-40673
See Also:
Court of Appeals Opinion
File Number:
3-9554
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Release No.
34-40672
File Number:
3-9481
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Release No.
34-40671
File Number:
3-9324
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Release No.
34-40663
File Number:
3-9389
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Release No.
34-40654
File Number:
3-9549
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Release No.
34-40646
File Number:
3-9212
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Release No.
34-40648
File Number:
3-9494
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Release No.
34-40647
File Number:
3-9555
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Release No.
34-40639
File Number:
3-9519
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Release No.
34-40630
File Number:
3-9529
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Release No.
34-40629
File Number:
3-9378
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Release No.
34-40600
File Number:
3-9195
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Release No.
34-40474
File Number:
3-9428
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Release No.
IA-1752
File Number:
3-9105
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Release No.
34-40436
File Number:
3-9298
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Release No.
34-40438
File Number:
3-9392
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Release No.
34-40392
File Number:
3-8304
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Release No.
34-40387
File Number:
3-8642
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Release No.
34-40335
File Number:
3-9346
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Release No.
34-40297
File Number:
3-9308
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Release No.
34-40244
File Number:
3-9332
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Release No.
34-40243
File Number:
3-9259
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Release No.
34-40237
File Number:
3-9501
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Release No.
34-40238
File Number:
3-9480
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Release No.
34-40055
File Number:
3-8798
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Release No.
34-40046
File Number:
3-8533
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Release No.
34-40010
See Also:
Court of Appeals Opinion
File Number:
3-8394
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Release No.
34-40013
File Number:
3-9241
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Release No.
34-40000
File Number:
3-9339
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Release No.
34-39999
File Number:
3-9188
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Release No.
34-40028
File Number:
3-8925
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Release No.
34-39800
File Number:
3-9313
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Release No.
34-39796
File Number:
3-9206
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Release No.
34-39765
File Number:
3-9237
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Release No.
34-39645
File Number:
3-8327
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Release No.
34-39565
File Number:
3-8992
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Release No.
IA-1696
File Number:
3-8899
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Release No.
34-39544
File Number:
3-9274
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Release No.
34-39543
See Also:
Court of Appeals Opinion
File Number:
3-9190
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Release No.
34-39523
File Number:
3-9188
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Release No.
34-39520
File Number:
3-9192
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Release No.
34-39518
File Number:
3-8527
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Release No.
34-39517
File Number:
3-8543
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