Month: November 2021

At the Commission the topic of the day continues to be crypto and digital currency. If Chair Gensler is correct that legislation is necessary to address the questions raised by digital assets then the reach of the agency in this …

This Week In Securities Litigation (Week of November 15, 2021) Read More »

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One current area of focus for Commission enforcement is penny stocks. There is nothing new about this focus. From the earliest days of the Division, penny stocks have been a central concern. Repeated actions have been brought based on the …

Two Penny Stock Schemes Read More »

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