The SEC charged an entity and several associated individuals with misleading 100 investors - most of whom were seniors - resulting in $4.9 million in losses.
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SEC Chair Jay Clayton articulated narrowly focused regulatory goals for inclusion in the federal government's Unified Agenda.
The SEC Office of Investor Education and Advocacy provided a list of risks and "red flags" to consider before investing in a microcap stock.
The SEC Office of Investor Education and Advocacy issued an Investor Bulletin on "microcap stock basics." The Investor Bulletin focused on how to adequately research microcap companies.
The SEC Office of Investor Education and Advocacy outlined factors for investors to consider before investing in microcap stocks in the first installment of a 3-part Investor Bulletin.