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- Material Changes1741. SUSBF – Change to Senior Officer – Robert Lawrence January 29, 2021
- Material Changes1742. SMMF – Change to Senior Officer – Robert Lawrence January 29, 2021
- Material Changes1743. SBTT – Amentment to By-Laws No. 1 January 29, 2021
- Published Articles1744. Importance of Ethics in the Securities Industry January 27, 2021
- Material Changes1745. CTTL – Change of Board of Directors – Miguel Martinez January 22, 2021
- Material Changes1746. AATT – Resignation of Board of Directors January 22, 2021
- Published Articles1747. Public Access to Documents January 20, 2021
- Material Changes1748. TTUTC – Reappointment of Douglas Camacho January 14, 2021
- Material Changes1749. TTUTC – Expiration of term – Douglas Camacho January 14, 2021
- Material Changes1750. TTUTC – Change to Senior Officer – J. Sobion and W. Sookdar January 14, 2021
- Material Changes1751. TTHDC – Change to Senior Officer – Brent Lyons and Bryan Jackson January 13, 2021
- Material Changes1752. SBTT – Change to Senior Officer – Kimi Rochard and Rachel Laquis January 13, 2021
This section compiles written decisions and settlement outcomes issued by the Commission under its legal authority. These entries document the resolution of enforcement matters, rule-change applications, delisting decisions, and other regulatory actions arising from referrals and formal hearings.