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