SEC Dealer Rule Collapse: Impact on Toxic Lenders & OTC Penny Stocks
Learn how the SEC's Dealer Rule targeted toxic lenders in penny stock markets — and why its defeat means ongoing risks for…
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Commissioner Mark Uyeda Dissents in Unregistered Dealer SEC Enforcement Action
In his dissent, Uyeda seems to accept the generally accepted description of variable-rate convertible notes as "toxic" and "death spiral" financings that…
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SEC Proposes Exemptive Relief for Finders
At its October 7, 2020 open meeting, the Securities and Exchange Commission (the “SEC”) voted to propose exemptive relief for certain finders…
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SEC Says Toxic Financing Lender and Dilution Funder John Fierro is a Dealer Not a Trader
Dilution Funders and Dilution Financings Challenged by SEC
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SEC Trading Suspensions Under the Securities Exchange Act
When the SEC issues a trading suspension pursuant to Section 12(k), trading in the security is halted for the period set forth…
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Is My Toxic Lender and Dilution Funder a Dealer? – SEC Toxic Financing Actions
Dilution Funders have been charged by the SEC as unregistered dealers in violation of the Securities Exchange Act. Justin Keener and his…
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