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. 34-100757
File Number: 3-20120
Release No. 34-100747
File Number: 3-21972
Release No. 34-100745
File Number: 3-21973
Release No. 34-100744
File Number: 3-21974
Release No. 34-100741
File Number: 3-21948
Release No. 34-100730
File Number: 3-20504
Release No. 34-100729
File Number: 3-20503
Release No. 34-100713
File Number: 3-21529
Release No. 34-100660
File Number: 3-21220
Release No. IA-6645
File Number: 3-20139
Release No. 34-100662
File Number: 3-21246
Release No. 34-100621, IA-6643
File Number: 3-21345
Release No. 34-100619
File Number: 3-21944
Release No. 34-100554
File Number: 3-21779
Release No. 34-100578, IA-6639
File Number: 3-21345
Release No. 34-100576
File Number: 3-21211
Release No. 34-100569
File Number: 3-20636
Release No. 34-100568
File Number: 3-21864
Release No. IA-6638
File Number: 3-16245
Release No. 34-100554
File Number: 3-21779
Release No. 34-100553
File Number: 3-18999
Release No. 34-100545
File Number: 3-20860
Release No. 34-100540
File Number: 3-20659
Release No. 34-100534
File Number: 3-21402
Release No. 34-100533
File Number: 3-21390
Release No. IA-6637
File Number: 3-20134
Release No. 34-100529
File Number: 3-20703
Release No. 34-100511
File Number: 3-21925
Release No. 34-100464
File Number: 3-20209
Release No. 34-100465
File Number: 3-21222
Release No. 34-100463
File Number: 3-20127
Release No. 34-100454
File Number: 3-21626
Release No. 34-100453
File Number: 3-13099
Release No. 34-100449
File Number: 3-20120
Release No. 34-100448
File Number: 3-20297
Release No. 34-100446
File Number: 3-20915
Release No. 34-100441
File Number: 3-21933
Release No. 34-100431, IA-6633
File Number: 3-19720
Release No. 34-100418
File Number: 3-21890
Release No. 34-100403
File Number: 3-21718
Release No. 34-100404
File Number: 3-21529
Release No. IA-6631
File Number: 3-20139
Release No. 34-100397
File Number: 3-21865
Release No. 34-100388
File Number: 3-21888
Release No. 34-100387
File Number: 3-21885
Release No. 34-100386
File Number: 3-21889
Release No. 34-100372
File Number: 3-21884
Release No. 34-100367
File Number: 3-21887
Release No. 34-100362
File Number: 3-21503
Release No. IA-6630
File Number: 3-20282
Release No. 34-100355
File Number: 3-20811
Release No. 34-100354
File Number: 3-20387
Release No. 34-100353
File Number: 3-20639
Release No. 34-100322, IA-6626
File Number: 3-20305
Release No. IA-6625
File Number: 3-20531
Release No. IA-6624
File Number: 3-21333
Release No. 34-100311
File Number: 3-21866
Release No. 34-100310
File Number: 3-21869
Release No. 34-100302
File Number: 3-20808
Release No. 34-100301
File Number: 3-19896
Release No. 34-100299
File Number: 3-18999
Release No. 34-100295
File Number: 3-21870
Release No. 34-100287
File Number: 3-21880
Release No. 34-100275
File Number: 3-21264
Release No. 34-100268
File Number: 3-21865
Release No. 34-100269
File Number: 3-21867
Release No. 34-100266
File Number: 3-21726
Release No. 34-100267
File Number: 3-21001
Release No. 33-11288
File Number: 3-21243
Release No. 34-100251
File Number: 3-21925
Release No. 34-100246
File Number: 3-21871
Release No. 34-100226
File Number: 3-21578
Release No. 34-100227
File Number: 3-20380
Release No. 34-100231, IA-6614
File Number: 3-20091
Release No. 34-100230
File Number: 3-21933
Release No. 34-100228
File Number: 3-21915
Release No. 34-100221
File Number: 3-20400
Release No. 34-100192
File Number: 3-20913
Release No. 34-100191
File Number: 3-21159
Release No. 34-100190
File Number: 3-21160
Release No. 34-100189
File Number: 3-21582
Release No. 34-100177
File Number: 3-21933
Release No. 34-100174
File Number: 3-20905
Release No. 34-100173
File Number: 3-20647
Release No. 34-100167
File Number: 3-21864
Release No. 34-100166
File Number: 3-20816
Release No. 34-100164
File Number: 3-21664
Release No. 34-100163
File Number: 3-21696
Release No. 34-100162
File Number: 3-21665
Release No. 34-100161, IA-6606
File Number: 3-20839
Release No. 34-100159
File Number: 3-21740
Release No. 34-100158
File Number: 3-21035
Release No. 34-100151
File Number: 3-21701
Release No. 34-100150
File Number: 3-21713
Release No. 34-100149
File Number: 3-21698
Release No. 34-100148
File Number: 3-20705
Release No. 34-100152
File Number: 3-21246
Release No. 34-100128
File Number: 3-21924
Release No. 34-100111
File Number: 3-21658
Release No. 34-100110
File Number: 3-21656