SEC Rule 15 I-1 – Global Relay Intelligence & Practice

SEC Rule 15 I-1

Enforcement

SEC action against Lion Street offers insight into standards of care for 2025

November 18, 2024

The Reg BI case against Lion Street Financial prompts discussion about how the rule has been leveraged for more doomed-to-fail proposals.

Julie DiMauro2 min read
Enforcement

First Horizon to pay $325,000 to resolve Reg BI charges from SEC

September 23, 2024

The SEC emphasized that First Horizon did not maintain and enforce its own Reg BI-related policies and procedures, leading to this violation.

Julie DiMauro3 min read