Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Wednesday, January 14, 2015

What is an Unregistered Broker? Going Public Lawyers

Going Public LawyerThe 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 in call centers and boiler rooms.  Often these unregistered broker-dealers claim to be exempt from the broker-dealer registration requirements.  SEC enforcement actions demonstrate there are serious consequences... Read MoreGoing Public Lawyer

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