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.
34-79700
File Number:
3-17262
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Release No.
34-79482, IA-4583
File Number:
3-17210
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Release No.
34-79459
File Number:
3-16383
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Release No.
33-10260, 34-79413
File Number:
3-16509
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Release No.
34-79380
File Number:
3-17293
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Release No.
IA-4566
File Number:
3-16047
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Release No.
34-79250
File Number:
3-17668
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Release No.
33-10244, 34-79217, IA-4563, IC-32352
File Number:
3-15617
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Release No.
33-10240, IC-32341, 34-79177
File Number:
3-16227
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Release No.
IA-4559
File Number:
3-16937
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Release No.
34-79138
File Number:
3-16430
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Release No.
34-79128, IA-4558
File Number:
3-17115
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Release No.
34-79099
File Number:
3-17560
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Release No.
33-10235
File Number:
3-17551
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Release No.
34-79008
File Number:
3-17226
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Release No.
34-79007
File Number:
3-17076
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Release No.
34-79018
File Number:
3-15601r
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Release No.
34-79016
File Number:
3-17404
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Release No.
34-79010
File Number:
3-16913r
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Release No.
33-10227, 34-79009, IA-4543, IC-32298
File Number:
3-15617
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Release No.
33-10225, 34-78990, IA-4541, IC-32294
File Number:
3-15737
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Release No.
34-78969
File Number:
3-17035
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Release No.
34-78899
File Number:
3-17344
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Release No.
34-78902
File Number:
3-17406
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Release No.
34-78901
File Number:
3-17402
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Release No.
34-78900
File Number:
3-17512
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Release No.
33-10219, 34-78898, IC-32279
File Number:
3-16498
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Release No.
34-78843
File Number:
3-17254
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Release No.
34-78833
File Number:
3-17406
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Release No.
33-10207, 34-78822, IA-4528, IC-32258
File Number:
3-15918
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Release No.
33-10206, 34-78821
File Number:
3-14848
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Release No.
33-10205, 34-78797
File Number:
3-15790
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Release No.
34-78773
File Number:
3-15350
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Release No.
IA-4520
File Number:
3-16946
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Release No.
34-78764
File Number:
3-16430
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Release No.
33-10202, 34-78739, IA-4516, IC-32250
File Number:
3-15918
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Release No.
IA-4495, IC-32236, AAER-3796
File Number:
3-16462
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Release No.
34-78669
File Number:
3-17128
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Release No.
IA-4492, IC-32223
File Number:
3-15519
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Release No.
34-78638
File Number:
3-17202
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Release No.
33-10126, 34-78637, IA-4491, IC-32222
File Number:
3-16801
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Release No.
33-10125, 34-78621
File Number:
3-14848
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Release No.
34-78595
File Number:
3-15350
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Release No.
33-10124, 34-78596
File Number:
3-17013
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Release No.
33-10123
File Number:
3-16594
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Release No.
33-10121, 34-78575, IA-4486, IC-32216
File Number:
3-15446
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Release No.
IA-4482, IC-32211
File Number:
3-16590
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Release No.
34-78568
File Number:
3-16329
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Release No.
33-10119, 34-78532, IA-4476, IC-32210
File Number:
3-15737
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Release No.
34-78490
File Number:
3-15168
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Release No.
34-78486
File Number:
3-17344
|
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Release No.
IA-4471
File Number:
3-15263
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Release No.
IA-4469, IC-32203
File Number:
3-15157
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Release No.
IA-4470
File Number:
3-14552
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Release No.
34-78463
File Number:
3-16151
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Release No.
34-78467
File Number:
3-14139
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Release No.
34-78458
File Number:
3-17249
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Release No.
34-78466
File Number:
3-15624
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Release No.
34-78470
File Number:
3-15266
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Release No.
34-78465
File Number:
3-16818
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Release No.
34-78469
File Number:
3-15035
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Release No.
34-78464
File Number:
3-15819
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Release No.
34-78468, IC-32205
File Number:
3-14324
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Release No.
33-10116, 34-78440, IA-4466, IC-32199
File Number:
3-15003
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Release No.
33-10115, 34-78429, IA-4463, IC-32194
File Number:
3-15918
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Release No.
IA-4461
File Number:
3-16946
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Release No.
33-10112, 34-78364, IA-4458, IC-32178
File Number:
3-12116
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Release No.
34-78352
File Number:
3-17076
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Release No.
34-78340
File Number:
3-17189
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Release No.
IA-4454, IC-32177
File Number:
3-16037
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Release No.
34-78272, IA-4446, IC-32174
File Number:
3-15141
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Release No.
34-78271
File Number:
3-17294
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Release No.
34-78252, IA-4445, IC-32172
See Also:
Amended Opinion
File Number:
3-15141
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Release No.
33-10109, 34-78253, IC-32173
File Number:
3-16498
|
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Release No.
IA-4443, IC-32169
File Number:
3-15519
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Release No.
34-78209
File Number:
3-16795
|
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Release No.
34-78183
File Number:
3-17254
|
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Release No.
34-78184
File Number:
3-17262
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Release No.
34-78134
File Number:
3-17211
|
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Release No.
33-10100, 34-78098, IA-4431, IC-32152
File Number:
3-15446
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Release No.
34-78093
File Number:
3-16285
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Release No.
34-78066
File Number:
3-15764
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Release No.
34-78058
File Number:
3-16913r
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Release No.
34-78049, IA-4420, IC-32146
File Number:
3-15141
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Release No.
IA-4417
File Number:
3-15263
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Release No.
IA-4416, IC-32143
File Number:
3-16037
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Release No.
34-78019
File Number:
3-17226
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Release No.
34-78018
File Number:
3-17250
|
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Release No.
34-77993
File Number:
3-16050
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Release No.
34-77994
File Number:
3-17254
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Release No.
34-77984
File Number:
3-16912
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Release No.
34-77966
File Number:
3-14069
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Release No.
34-77965
File Number:
3-14698
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Release No.
33-10084, 34-77964, IA-4412, IC-32137
File Number:
3-14404
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Release No.
IA-4410
File Number:
3-15055
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Release No.
IA-4409
File Number:
3-15054
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Release No.
34-77954, IA-4407
File Number:
3-14951
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Release No.
34-77955, IA-4408
File Number:
3-14963
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Release No.
IA-4400, IC-32131, ID-822
File Number:
3-16037
|
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Release No.
IA-4405
File Number:
3-15285
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