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 |
|---|---|
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Release No.
IA-6755
File Number:
3-20828
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Release No.
34-101409
File Number:
3-22221
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Release No.
34-101407
File Number:
3-22057
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Release No.
34-101405
File Number:
3-22048
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Release No.
34-101404
File Number:
3-22049
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Release No.
34-101403
File Number:
3-22067
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Release No.
34-101391
File Number:
3-22036
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Release No.
34-101390
File Number:
3-20636
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Release No.
34-101389
File Number:
3-22035
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Release No.
34-101388
File Number:
3-20807
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Release No.
34-101385
File Number:
3-21516
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Release No.
IA-6752
File Number:
3-21364
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Release No.
34-101384
File Number:
3-22030
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Release No.
34-101381
File Number:
3-22029
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Release No.
34-101369
File Number:
3-21982
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Release No.
34-101374
File Number:
3-22072
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Release No.
34-101371
File Number:
3-22063
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Release No.
34-101372
File Number:
3-21011
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Release No.
34-101373
File Number:
3-22062
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Release No.
34-101357
File Number:
3-22016
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Release No.
34-101359
File Number:
3-22014
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Release No.
34-101356
File Number:
3-22018
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Release No.
34-101346
File Number:
3-21402
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Release No.
34-101342
File Number:
3-21390
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Release No.
34-101323
File Number:
3-20703
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Release No.
34-101312
File Number:
3-21890
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Release No.
34-101309
File Number:
3-21885
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Release No.
34-101315
File Number:
3-21211
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Release No.
34-101311
File Number:
3-21948
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Release No.
34-101310
File Number:
3-21864
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Release No.
34-101301, IA-6746
File Number:
3-20796
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Release No.
34-101298
File Number:
3-19787
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Release No.
34-101296
File Number:
3-22099
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Release No.
34-101286
File Number:
3-21889
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Release No.
34-101290
File Number:
3-21084
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Release No.
34-101276
File Number:
3-21888
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Release No.
34-101275
File Number:
3-21887
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Release No.
34-101274
File Number:
3-21211
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Release No.
34-101273
File Number:
3-20905
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Release No.
34-101264
File Number:
3-21878
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Release No.
34-101263
File Number:
3-21874
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Release No.
34-101259
File Number:
3-21873
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Release No.
34-101261
File Number:
3-20209
|
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Release No.
34-101260
File Number:
3-21414
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Release No.
34-101258
File Number:
3-21222
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Release No.
34-101255
File Number:
3-21872
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Release No.
34-101254
File Number:
3-21869
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Release No.
34-101252
File Number:
3-21871
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Release No.
34-101256
File Number:
3-21982
|
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Release No.
34-101247 , IA-6742
File Number:
3-21578
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Release No.
34-101240
File Number:
3-21866
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Release No.
34-101236
File Number:
3-21865
|
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Release No.
34-101235
File Number:
3-21387
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Release No.
34-101245
File Number:
3-21981
|
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Release No.
34-101239
File Number:
3-21257
|
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Release No.
34-101227
File Number:
3-22013
|
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Release No.
IA-6739
File Number:
3-20941
|
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Release No.
34-101230
File Number:
3-21726
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Release No.
34-101228
File Number:
3-20503
|
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Release No.
34-101223
File Number:
3-20504
|
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Release No.
34-101219
File Number:
3-21982
|
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Release No.
IA-6735
File Number:
3-21525
|
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Release No.
34-101217
File Number:
3-19814, 3-19815
|
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Release No.
34-101214, AAER-4530
File Number:
3-21298
|
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Release No.
34-101208, AAE-4529
File Number:
3-20394
|
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Release No.
33-11310, 34-101206, AAER-4528
File Number:
3-21831
|
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Release No.
34-101205, AAER-4527
File Number:
3-21314
|
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Release No.
34-101204, AAER-4526
File Number:
3-21241
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Release No.
34-101203, AAER-4525
File Number:
3-21139
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Release No.
34-101182, IA-6728
File Number:
3-21919
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Release No.
34-101129
File Number:
3-21951
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Release No.
IA-6697
File Number:
3-20928
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Release No.
34-101024
File Number:
3-21011
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Release No.
34-101029
File Number:
3-20387
|
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Release No.
34-101027
File Number:
3-21503
|
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Release No.
34-101026
File Number:
3-20639
|
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Release No.
34-101003
File Number:
3-21626
|
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Release No.
34-101002, IA-6693
File Number:
3-21963
|
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Release No.
34-100997
File Number:
3-21211
|
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Release No.
34-100996
File Number:
3-21261
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Release No.
34-100993
File Number:
3-21973
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Release No.
IA-6689
File Number:
3-20531
|
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Release No.
34-100987
File Number:
3-21974
|
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Release No.
34-100985
File Number:
3-21972
|
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Release No.
34-100981
File Number:
3-19896
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Release No.
34-100980
File Number:
3-20808
|
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Release No.
33-11300
File Number:
3-21243
|
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Release No.
34-100891
File Number:
3-21981
|
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Release No.
34-100883
File Number:
3-21985
|
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Release No.
34-100868
File Number:
3-21462
|
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Release No.
34-100817
File Number:
3-20380
|
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Release No.
34-100805
File Number:
3-21864
|
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Release No.
34-100794
File Number:
3-21982
|
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Release No.
34-100788
File Number:
3-21235
|
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Release No.
34-100786
File Number:
3-21231
|
|
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Release No.
34-100778, IA-6664
File Number:
3-20248, 3-20249
|
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Release No.
34-100777
File Number:
3-20811
|
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Release No.
34-100762
File Number:
3-20127
|
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Release No.
34-100759
File Number:
3-20647
|
|
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Release No.
34-100758
File Number:
3-20905
|