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Commission Opinions and Adjudicatory Orders for 2008, 2009 and 2010

Published by Public Affairs | Securities and Exchange Commission | Metadata Last Checked: January 09, 2026 | Last Modified: 2017-05-05T07:30:36Z
This file contains the respondents, release number, release date, and the url of the opinions and orders issued by the Commission adjudicating either appeals from initial ALJ decisions or disciplinary or adverse action taken by self-regulatory organizations (such as FINRA) or motions in connection with these proceedings.

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