Tag: PAUSE List

SEC 2024 Broker-Dealer Examination Priorities

SEC Adds 23 Unregistered Soliciting Entities to its PAUSE List

The Securities and Exchange Commission (SEC) has updated its Public Alert: Unregistered Soliciting Entities (PAUSE) list, adding 23 entities that are soliciting primarily non-U.S. investors using misleading information. The list also includes eight impersonators of genuine firms and seven bogus regulators. What is the PAUSE list? The PAUSE list is […]