SEC Rule 15 I-1
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SEC action against Lion Street offers insight into standards of care for 2025
The Reg BI case against Lion Street Financial prompts discussion about how the rule has been leveraged for more doomed-to-fail proposals.
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First Horizon to pay $325,000 to resolve Reg BI charges from SEC
The SEC emphasized that First Horizon did not maintain and enforce its own Reg BI-related policies and procedures, leading to this violation.