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Month: April 2024

Posted on by T. Gorman Posted in SECActions

Since the creation of the Securities Exchange Act of 1934 those acting as broker or dealers have been required to register with the Commission. The definition for each term, as originally drafted, is broad. For example, the definition of what …

Commission Charges Former Broker as Unregistered Dealer

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Posted on by T. Gorman Posted in SECActions

Last week the Commission filed four new enforcement actions. One centered insider trading, another on an offering fraud, a third on the sale of unregistered securities and a final action involved claims about artificial intelligence. The agency also prevailed on …

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