Law Blog Tag: Penny Stock Risks

SEC Issues White Paper On Penny Stock Risks

February 21, 2017 in NASDAQ, NYSE MKT, OTC Market, OTC Pink, OTCBB, OTCQB, OTCQX

On December 16, 2016, the SEC announced several new settled enforcement proceedings against market participants including issuers, attorneys and a transfer agent, related to penny stock fraud. On the same day the SEC issued a new white paper detailing the risks associated with investing in penny stocks. This blog summarizes the SEC white paper. As Read the full article…