Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

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Tuesday, April 15, 2008

SEC Announces List of Unregistered Soliciting Firms

The SEC announced a Public Alert: Unregistered Soliciting Entities (PAUSE) website where it lists unregistered soliciting entities that have been the subject of investors' complaints.  For each of the entities named on the website, SEC staff determined either (1) that there is no US registered securities firm with this name, or (2) that there is a US registered securities firm with the same (or a similar) name but that solicitations appear to have been made by persons who are not affiliated with the US registered securities firm.

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