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- Material Changes2101. SUSBF – Change to Senior Officer – Robert Lawrence January 29, 2021
- Material Changes2102. SMMF – Change to Senior Officer – Robert Lawrence January 29, 2021
- Material Changes2103. SBTT – Amentment to By-Laws No. 1 January 29, 2021
- Published Articles2104. Importance of Ethics in the Securities Industry January 27, 2021
- Material Changes2105. CTTL – Change of Board of Directors – Miguel Martinez January 22, 2021
- Material Changes2106. AATT – Resignation of Board of Directors January 22, 2021
- Published Articles2107. Public Access to Documents January 20, 2021
- Material Changes2108. TTUTC – Reappointment of Douglas Camacho January 14, 2021
- Material Changes2109. TTUTC – Expiration of term – Douglas Camacho January 14, 2021
- Material Changes2110. TTUTC – Change to Senior Officer – J. Sobion and W. Sookdar January 14, 2021
- Material Changes2111. TTHDC – Change to Senior Officer – Brent Lyons and Bryan Jackson January 13, 2021
- Material Changes2112. 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.