Administrative Proceeding File No. 3-21997

Respondents

Osaic Services, Inc. and Osaic Wealth, Inc.
Release Date Release Number Other Release Numbers Name of Document
34-102860
  • IA-6874
 Order Denying Motions to Modify or Amend and Stay Settled Orders
34-102355
  • IA-6847
 Order Granting Extension of Time
34-100701
  • IA-6651
 Order Instituting Administrative and Cease-and-Desist Proceedings, pursuant to Sections 15(b) and 21C Of Securities Exchange Act of 1934 and Sections 203(e) and 203(k) of Investment Advisers Act Of 1940, Making Findings, and Imposing Remedial Sanctions
Release Date Release Number Other Release Numbers Name of Document
Order Granting Extension of Time
Respondent's Motion to Modify Ordered Undertakings in Administrative Proceeding and for Administrative Stay
Division of Enforcement's Request for Extension of Time
Letter to the Commission dated February 10, 2025
Division of Enforcement’s Opposition to Respondent’s Motion to Modify Ordered Undertakings in Administrative Proceeding, Stay Effectiveness
Respondent OSAIC's Reply Brief ISO of Motion to Modify Ordered Undertakings and Motion for Stay
Order Denying Motions to Modify or Amend and Stay Settled Orders

Documents