- Business & UCC
- Annual Reports
- Business Entities
- Certificates of Good Standing
- Commercial Registered Agents
- Commonly Asked Questions
- Cities & Counties Listing
- County Clerks
- EFS
- Maintaining Your Business
- Media Releases
- Online Services
- Other Filings
- Other Related Websites
- Reinstatements
- Start a Business
- Search Business Data
- Statistics
- UCC
- 50 States' Information
- Elections
- Campaign Finance Information
- Candidate Committees
- Candidate Information
- Election Administration
- Election History
- Election Information
- Election Related Websites
- First Amendment Independent Expenditures
- Forms
- Hatch Act Information
- Initiative & Referendum
- Legislative Districts
- Media Releases
- Political Action Committees
- Political Party Information
- Voter Information
- Voting Equipment
- 50 States' Information
- Forms
- Investing
- Research & Information
- Services
Petitions, Orders and Stipulations
| Date | Name | Stipulation |
| 10/05/2011 | Raymond James | Administrative Consent Order |
| 11/17/2010 | Morgan Stanley & Co. Incorporated | Administrative Consent Order |
| 11/10/2010 | TD Ameritrade, Inc. | Administrative Consent Order |
| 06/29/2010 | Credit Suisse Securities LLC | Administrative Consent Order |
| 06/01/2010 | UBS Financial Services Inc. | Administrative Consent Order |
| 04/09/2010 | Deutsche Bank Securities, Inc. | Administrative Consent Order |
