Unregistered Broker Dealer Activity on the Rise

Securities Lawyer Blog Direct Public Offering Going Public Lawyer Going Public Attorney Securities AttorneyThe 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 the OTC marketplace touting their skills as capital raisers despite not being registered with the SEC.  Recent SEC enforcement actions demonstrate there are serious consequences for those... Read MoreSecurities Lawyer Blog Direct Public Offering Going Public Lawyer Going Public Attorney Securities Attorney
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