Commission Opinions and Adjudicatory Orders

Between January 31, 2026, and February 3, 2026, the Commission experienced a lapse in appropriations. In light of the lapse, the Commission issued an order staying certain administrative proceedings. On February 4, 2026, 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
Release No. 34-101918
File Number: 3-20387
Release No. 34-101917
File Number: 3-22285
Release No. 34-101916
File Number: 3-21818
Release No. 34-101888
File Number: 3-22292
Release No. IA-6787
File Number: 3-22307
Release No. IA-6786
File Number: 3-22308
Release No. IA-6785
File Number: 3-22250
Release No. 34-101881
File Number: 3-20504
Release No. 34-101876
File Number: 3-22265
Release No. 34-101874
File Number: 3-22261
Release No. 34-101873
File Number: 3-22266
Release No. 34-101872
File Number: 3-22260
Release No. 34-101865
File Number: 3-22319
Release No. 34-101863
File Number: 3-22099
Release No. 34-101862
File Number: 3-22295
Release No. 34-101860
File Number: 3-22249
Release No. 34-101858
File Number: 3-22016
Release No. 34-101857
File Number: 3-22022
Release No. 34-101856
File Number: 3-22248
Release No. IA-6783
File Number: 3-21333
Release No. 34-101849
File Number: 3-21944
Release No. 34-101846
File Number: 3-20808
Release No. 34-101845
File Number: 3-19896
Release No. 34-101840
File Number: 3-22285
Release No. IA-6781
File Number: 3-22307
Release No. 34-101835
File Number: 3-21951
Release No. IA-6780
File Number: 3-22308
Release No. 34-101829
File Number: 3-21654
Release No. 34-101817
File Number: 3-21972
Release No. 34-101816
File Number: 3-21974
Release No. 34-101818
File Number: 3-21973
Release No. 34-101807
File Number: 3-20839
Release No. 34-101801
File Number: 3-22284
Release No. 34-101673
File Number: 3-21414
Release No. 33-11331
File Number: 3-21243
Release No. IA-6778
File Number: 3-20928
Release No. 34-101772
File Number: 3-22241
Release No. 34-101771
File Number: 3-22240
Release No. 34-101770
File Number: 3-22243
Release No. 34-101768
File Number: 3-22244
Release No. 34-101767
File Number: 3-22247
Release No. 34-101751
File Number: 3-22264
Release No. 34-101752
File Number: 3-21160
Release No. IA-6777
File Number: 3-22307
Release No. 34-101753
File Number: 3-21159
Release No. 34-101733
File Number: 3-20380
Release No. 34-101728
File Number: 3-21981
Release No. 34-101727
File Number: 3-22233
Release No. 34-101726
File Number: 3-22235
Release No. 34-101725
File Number: 3-22069
Release No. 34-101722
File Number: 3-22228
Release No. 34-101710
File Number: 3-22253
Release No. 34-101709
File Number: 3-22251
Release No. 34-101708
File Number: 3-22231
Release No. 34-101704
File Number: 3-22252
Release No. 34-101703
File Number: 3-22234
Release No. IA-6775
File Number: 3-21919
Release No. 34-101661
File Number: 3-22285
Release No. 34-101660
File Number: 3-22203
Release No. 34-101652
File Number: 3-22230
Release No. 34-101651
File Number: 3-22232
Release No. 34-101647
File Number: 3-22245
Release No. 34-101642
File Number: 3-20647
Release No. 34-101639
File Number: 3-21302
Release No. 34-101637
File Number: 3-21467
Release No. 33-11327
File Number: 3-21682
Release No. 34-101623
File Number: 3-21981
Release No. 34-101622
File Number: 3-20503
Release No. 34-101604
File Number: 3-22023
Release No. 34-101601
File Number: 3-22025
Release No. 34-101599
File Number: 3-22229
Release No. 34-101570
File Number: 3-22026
Release No. 34-101572
File Number: 3-22013
Release No. 34-101568
File Number: 3-22041
Release No. 34-101567
File Number: 3-22099
Release No. 34-101565
File Number: 3-20238
Release No. 34-101564
File Number: 3-22028
Release No. 34-101563
File Number: 3-22042
Release No. 34-101532
File Number: 3-22068
Release No. 34-101531
File Number: 3-22064
Release No. IA-6764
File Number: 3-20950
Release No. 34-101507
File Number: 3-21039
Release No. IA-6762
File Number: 3-19733
Release No. 34-101504
File Number: 3-20794
Release No. 34-101502
File Number: 3-22276
Release No. 34-101505
File Number: 3-21214
Release No. 34-101478
File Number: 3-20504
Release No. 34-101475
File Number: 3-22069
Release No. 34-101474
File Number: 3-22073
Release No. 34-101473
File Number: 3-22071
Release No. 34-101463
File Number: 3-22060
Release No. 34-101462
File Number: 3-22058
Release No. 34-101458
File Number: 3-20653
Release No. 34-101456
File Number: 3-22059
Release No. IA-6757
File Number: 3-20927
Release No. 34-101438
File Number: 3-20639
Release No. 34-101437
File Number: 3-22068
Release No. 34-101436
File Number: 3-22064
Release No. 34-101435
File Number: 3-22061
Release No. 34-101414
File Number: 3-21880