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Securities Exchange Act › Penny Stocks

The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange... more +
The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange Commission (SEC), which is the primary regulatory agency enforcing federal securities laws. less -
Vinson & Elkins LLP

Florida Court “Deals” Blow To Alleged Stock Dealer

Vinson & Elkins LLP on

A recent decision out of the Southern District of Florida highlights the importance of businesses taking an expansive approach when considering whether to register as a broker dealer and the applicability of other...more

Brooks Pierce

Don’t even think about violating that penny stock bar.

Brooks Pierce on

The penny stock world can be rough. So rough that breaking the rules in that corner of the securities markets ban bring its own kind of injunction, one that’s much more specific than the typical don’t-break-the-law-anymore...more

Katten Muchin Rosenman LLP

SEC Settles With Stock Promoters in Medical Marijuana Stock Manipulation Scheme

Katten Muchin Rosenman LLP on

On July 9, the Securities and Exchange Commission settled with two stock promoters accused of reaping $2.5 million in illicit profits by manipulating stocks of medical marijuana microcap companies. According to the proposed...more

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