Treasury Department Finalizes Basis Consistency Regulations

Published on September 18, 2024

The outcome is worth the wait.

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SEC Poised to Vote on Overhaul of Stock Pricing, Exchange Fees

September 18, 2024
The price increments at which thousands of stocks and ETFs are quoted look set for an overhaul Wednesday, when the US Securities and Exchange Commission votes on final rules to reduce them to less than 1 cent.

SEC Hits First Horizon With $325,000 Reg BI Fine

September 18, 2024
The charges relate to First Horizon's recommendations of structured notes after its merger with IberiaBank.      Related StoriesHouse OKs Steeper Penalties for Leaking Tax DataCases Mount Against Advisor Accused of Stealing Millions From His Aunt30,000 People Died Waiting on Social Security Disability Decisions in 2023