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- Material Changes1813. SUSEF – Change to Senior Officer – Robert Lawrence January 29, 2021
- Material Changes1814. SGEF – Change to Senior Officer – Robert Lawrence January 29, 2021
- Material Changes1815. SUSBF – Change to Senior Officer – Robert Lawrence January 29, 2021
- Material Changes1816. SMMF – Change to Senior Officer – Robert Lawrence January 29, 2021
- Material Changes1817. SBTT – Amentment to By-Laws No. 1 January 29, 2021
- Published Articles1818. Importance of Ethics in the Securities Industry January 27, 2021
- Material Changes1819. CTTL – Change of Board of Directors – Miguel Martinez January 22, 2021
- Material Changes1820. AATT – Resignation of Board of Directors January 22, 2021
- Published Articles1821. Public Access to Documents January 20, 2021
- Material Changes1822. TTUTC – Reappointment of Douglas Camacho January 14, 2021
- Material Changes1823. TTUTC – Expiration of term – Douglas Camacho January 14, 2021
- Material Changes1824. TTUTC – Change to Senior Officer – J. Sobion and W. Sookdar January 14, 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.