SEC Charges Broker-Dealer First Horizon With Regulation Best Interest Violations
Firm’s structured note recommendations violated Reg BI’s compliance obligation September 18, 2024/US SEC The Securities…
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Statement on Minimum Price Increments, Access Fee Caps, Round Lots, and Odd-Lots
September 18, 2024/US SEC Today, the Commission will consider updating rules for the $55 trillion…
SEC Charges DeFi Platform Rari Capital and its Founders With Misleading Investors and Acting as Unregistered Brokers
Rari Capital also charged for engaging in unregistered crypto offerings September 18, 2024/US SEC The…