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 …
Tag: penny stocks
SEC, USAO, FINRA Bring Charges For Sale of Unregistered Penny Stocks
The SEC, the USAO and Finra brought actions centered on the sale of unregistered penny stocks.