Commission Charges Three as Unregistered Brokers and Dealers
Purchasing and selling securities for the account of others without registering as a broker has long been held to be a violation of the Exchange Act Section 15(a). Similarly, purchasing and selling securities for your own account has long been …
Commission Charges Three as Unregistered Brokers and Dealers
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The Commission’s recently released report on the Enforcement Division identified retail investors and cyber as key areas of emphasis for Enforcement under Chairman Clayton. Examples of the retail focus are actions involving microcap stocks and frauds as well as those …
SEC Claims Individual, Firm Engaged In Unregistered Dealer Business Read More »