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: Securities Law Prof Blog

Regulators Crack Down on Broker-Dealers Involved in Sales of Unregistered Penny Stocks

By Securites Lawprof

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Both FINRA and the SEC announced enforcement actions against broker-dealers involving sales of unregistered penny stocks by their customers, although there is no indication in the releases that they are related. FINRA fined five broker-dealers a total of $385,000 for... read more

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Full post as published by Securities Law Prof Blog on April 27, 2010 (boomark / email).

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