In a white paper prepared for the SEC Division of Economic and Risk Analysis, economist Joshua White analyzed investment outcomes in connection with over-the-counter stocks.
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SEC Chair Jay Clayton articulated narrowly focused regulatory goals for inclusion in the federal government's Unified Agenda.
The SEC brought administrative proceedings against a brokerage firm, and civil proceedings against several firm customers, for a scheme involving $24.8 million in "penny stock" transactions.
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.
The SEC Office of Investor Education and Advocacy provided a list of risks and "red flags" to consider before investing in a microcap stock.