The Securities and Exchange Commission adopted amendments to Reg. NMS on September 18, 2024, covering a broad range of market ...

Regulators allege First Horizon Advisors violated Reg BI when it continued recommending complex investments even though it ...

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First Horizon agreed to pay a civil penalty of $325,000 to resolve the charges. The SEC’s order found that First Horizon ...

The Securities and Exchange Commission has charged a registered broker-dealer with violations of Regulation Best Interest.

Texas court dismissed ConsenSys’ lawsuit against SEC, Chair Gary Gensler, marking significant development in the ongoing ...

The SEC in 2005 established Regulation National Market System, or Reg NMS, to modernize the U.S. equity system. In part, Reg ...

TIME AND DATE: Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Pub. L. 94-409, that ...

The Securities and Exchange Commission today announced charges against registered broker-dealer First Horizon Advisors, Inc.

As early voting starts this Friday in Minnesota, elections officials say they’ve improved the state’s new automatic voter ...

First Horizon Advisors will pay a $325,000 fine to settle allegations from the Securities and Exchange Commission that it ...

Wall Street's top regulator on Wednesday unveiled rules allowing stock markets to price shares in increments of half a penny, ...