Incredible opportunities for startups at the 2024 Africa Tech Festival, including a $1,000,000 investment prize September 18, 2024/Afriac Tech Festival When the 2024 Africa Tech Festival kicks off in Cape Town on 12 November, anchor event AfricaIgnite will see the continent’s most innovative startups exposed to unprecedented opportunities to pitch […]
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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 and Exchange Commission today announced charges against registered broker-dealer First Horizon Advisors, Inc. for failing to maintain and enforce policies and procedures reasonably designed to achieve compliance with Regulation Best Interest (Reg BI). The charges […]
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 equity markets. I am pleased to support these rules because they would enhance competition, efficiency, and fairness, benefitting investors and capital formation alike. In 1975, Congress tasked the Securities and Exchange Commission with responsibility to […]
