Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Monday, June 2, 2014

Unregistered Broker Dealer Activity on the Rise By: Brenda Hamilton


The Securities and Exchange Commission (the "SEC") Division of Enforcement is pursuing unregistered broker dealer activity which runs rampant in the penny stock markets.  Since Rule 506(c) was created many unregistered broker-dealers have appeared i...
http://www.securitieslawyer101.com/unregistered-broker/

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