Commission Opinions and Adjudicatory Orders
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 |
|---|---|
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Release No.
33-10067, 34-77643
File Number:
3-13927, 3-13109
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Release No.
33-10066
File Number:
3-16594
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Release No.
34-77510
File Number:
3-17128
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Release No.
34-77503
File Number:
3-16948
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Release No.
34-77500
File Number:
3-17128
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Release No.
34-77501
File Number:
3-17189
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Release No.
34-77502
File Number:
3-16913
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Release No.
34-77492
File Number:
3-16360
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Release No.
34-77470
File Number:
3-16756
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Release No.
34-77452
File Number:
3-17109
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Release No.
33-10060, 34-77442, IA-4358, IC-32050
File Number:
3-15003
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Release No.
33-10057, 34-77420, IC-32037
File Number:
3-16318
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Release No.
34-77411, IA-4356, ID-824
File Number:
3-16374
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Release No.
34-77414, IC-32034
File Number:
3-16008
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Release No.
34-77396
File Number:
3-15869
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Release No.
34-77398
File Number:
3-16658
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Release No.
34-77399
File Number:
3-16678
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Release No.
34-77375
File Number:
3-16768
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Release No.
34-77296
File Number:
3-17076
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Release No.
33-10048, 34-77249, IC-32008
File Number:
3-15514
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Release No.
IA-4339
File Number:
3-15323
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Release No.
34-77204
File Number:
3-16293
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Release No.
33-10044, 34-77201, IA-4336, IC-31999
File Number:
3-16311
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Release No.
33-10040, 34-77177
File Number:
3-16509
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Release No.
34-77163
File Number:
3-16293
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Release No.
34-77113
File Number:
3-13109
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Release No.
34-77107
File Number:
3-17109
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Release No.
33-10038, 34-77088
File Number:
3-16509
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Release No.
34-77084
File Number:
3-16814
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Release No.
33-10035, 34-77068, IA-4329, IC-31985
File Number:
3-15842
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Release No.
34-77062
File Number:
3-16577
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Timothy W. Carnahan and Cyios Corporation (Order Granting Petition for Review and Scheduling Briefs)
Release No.
33-10031, 34-77038
File Number:
3-16386
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Release No.
34-76934, IA-4319
File Number:
3-14655
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Release No.
33-10005, 34-76933, IA-4318, IC-31962
File Number:
3-15967
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Release No.
34-76913
File Number:
3-16353
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Release No.
34-76834
File Number:
3-16900
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Release No.
IA-4297
File Number:
3-16336
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Release No.
IA-4298
File Number:
3-16335
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Release No.
34-76702, IA-4296
File Number:
3-16294
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Release No.
34-76721
File Number:
3-16933
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Release No.
IA-4294
File Number:
3-15263
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Release No.
34-76698
File Number:
3-16678
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Release No.
33-9985, 34-76614
File Number:
3-16178
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Release No.
34-76592
File Number:
3-16293
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Release No.
34-76558
File Number:
3-16461
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Release No.
34-76559
File Number:
3-16948
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Release No.
IA-4286
File Number:
3-15263
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Release No.
IA-4281
File Number:
3-15925
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Release No.
34-76516
File Number:
3-16912
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Release No.
34-76517
File Number:
3-16933
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Release No.
33-9979, 34-76502, IA-4275, IC-31908
File Number:
3-15842
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Release No.
34-76481
File Number:
3-16900
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Release No.
34-76460
File Number:
3-16913
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Release No.
34-76461
File Number:
3-16900
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Release No.
34-76440
File Number:
3-16933
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Release No.
34-76376
File Number:
3-16264
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Release No.
33-9977
File Number:
3-16339
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Release No.
IA-4249
File Number:
3-15263
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Release No.
33-9975, 34-76325, IA-4250, IC-31888
File Number:
3-15446
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Release No.
34-76307
File Number:
3-16262
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Release No.
33-9972, 34-76308
File Number:
3-15124
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Release No.
34-76266
File Number:
3-16518
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Release No.
33-9966, 34-76271
File Number:
3-15974
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Release No.
34-76241, IA-4239, IC-31880
File Number:
3-15006
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Release No.
IA-4222
File Number:
3-16182
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Release No.
34-76118
File Number:
3-13678r
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Release No.
34-76119
File Number:
3-16223
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Release No.
34-76097
File Number:
3-15168
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Release No.
33-9958, 34-76067, IA-4214, IC-31857
File Number:
3-16311
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Release No.
34-76060
File Number:
3-16545
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Release No.
34-76011
File Number:
3-15978
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Release No.
IA-4211
File Number:
3-16182
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Release No.
34-76001, IC-31852
File Number:
3-16175
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Release No.
34-75981
File Number:
3-16022
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Nicholas Rowe (Order Denying Motion for Summary Affirmance and Remanding for Additional Proceedings)
Release No.
34-75982
File Number:
3-16155
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Release No.
34-75964
File Number:
3-16768
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Release No.
34-75965
File Number:
3-16756
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Release No.
33-9923, 34-75960, IA-4205, IC-31836
File Number:
3-15514
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Release No.
34-75956, IA-4202
File Number:
3-16374
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Release No.
IA-4197, IC-31830
See Also:
Order Staying Remedial Sanctions
File Number:
3-15519
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Release No.
IA-4195, IC-31825
File Number:
3-15519
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Release No.
33-9912, 34-75922, IA-4194, IC-31824
File Number:
3-15790
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Release No.
34-75894, IC-31818
File Number:
3-15874
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Release No.
34-75893, IA-4193
File Number:
3-15850
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Release No.
34-75868
File Number:
3-16209
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Release No.
34-75840
File Number:
3-15993
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Release No.
34-75844, AAER-3682
File Number:
3-15659
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Release No.
34-75837, IA-4190, IC-31806
File Number:
3-15006
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Release No.
34-75838
File Number:
3-15916
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Release No.
34-75839
File Number:
3-16230
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Release No.
34-75818
File Number:
3-16502
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Release No.
34-75820, IA-4187, IC-31804
File Number:
3-15215
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Release No.
34-75822
File Number:
3-16285
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Release No.
34-75790
File Number:
3-16321
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Release No.
34-75791
File Number:
3-16317
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Release No.
34-75774
File Number:
3-16555
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Release No.
34-75775
File Number:
3-16292
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Release No.
IA-4183, IC-31787
File Number:
3-15519
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Release No.
34-75765
File Number:
3-16525
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Release No.
IA-4180, IA-3960
File Number:
3-16223
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