FINRA Fines Osaic Broker/Dealer $1M Over Mutual Fund Supervision

Published on December 3, 2025

Securities America was not equipped to detect switches and short-term sales of Class A mutual funds, FINRA claims.

Continue reading on website
Other news

InspereX Teams with SUBSCRIBE, Luma to Launch Alts Platform

December 3, 2025
Aria is designed for RIAs and will feature fixed income, structured products and alternative investments.

SIFMA Encouraged by SEC Plan to Ease Path for Small Company IPOs

December 3, 2025
During an annual state of the industry briefing, SIFMA leaders backed SEC Chair Paul Atkins’ call for easier reporting requirements for smaller companies to help facilitate more IPOs, along with fewer regulatory burdens for already public companies.