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October 31, 2022 at 02:42 PM
The Securities and Exchange Commission recently updated its list of unregistered entities that use misleading information to solicit primarily non-U.S. investors, adding 35 soliciting entities, four impersonators of genuine firms and four bogus regulators.
The firms that SEC staff found were providing inaccurate information about their affiliation, location or registration.
Under U.S. securities laws, firms that solicit investors generally are required to register with the SEC and meet minimum financial standards, as well as disclosure, reporting and recordkeeping requirements.
The updated Public Alert: Unregistered Soliciting Entities (PAUSE) list, which is the SEC’s list of soliciting entities that have been the subject of investor complaints, includes 35 soliciting agencies, four “spoofer” firms and four fake regulators.
