SEC-PAUSE-PROGRAM SEC PAUSE Program (Public Alert: Unregistered Soliciting Entities) identifies firms and individuals impersonating legitimate entities or promoting investment scams without proper registration. Date: Aug. 13, 2024 Date Accessed: Aug. 13, 2024 Source URL: https://www.sec.gov/enforcement-litigation/public-alerts-unregistered-soliciting-entities Categories: SEC-2408 UNREGISTERED ENTITIES PDF Notes: The PDF viewer below disables the links inside the PDF file. The PDF file may be […]
Category: Unregistered Entities
The CFTC Red (Registration Deficient) List and SEC PAUSE (Public Alert: Unregistered Soliciting Entities) Program are designed to protect investors from unregistered soliciting entities that often engage in fraudulent activities.
The CFTC Red List identifies foreign entities that are soliciting and accepting funds from U.S. residents for trading, often in commodities and derivatives, without proper registration.
Similarly, the SEC PAUSE Program identifies firms and individuals impersonating legitimate entities or promoting investment scams without proper registration.
Both programs aim to alert and educate investors, helping them identify and avoid potential scams, thereby enhancing overall market integrity and investor protection.
CFTC-RED-LIST (Aug. 13, 2024) Commodity Futures Trading Commission Registration Deficient List Date Accessed: Aug. 13, 2024 Source URL: https://www.cftc.gov/LearnAndProtect/Resources/Check/redlist.htm Categories: CFTC-2408 UNREGISTERED ENTITIES PDF Notes: The PDF viewer below disables the links inside the PDF file. The PDF file may be downloaded if you wish. All links within the PDF Download are fully functional.
SEC-PR-2024-76 Securities and Exchange Commission Updates List of Firms Using Inaccurate Information to Solicit Investors Date: Jun. 18, 2024 Date Accessed: Aug.1, 2024 Source URL: https://www.sec.gov/newsroom/press-releases/2024-76 Categories: SEC ADVISORIES SEC-2406 UNREGISTERED ENTITIES PDF Notes: The PDF viewer below disables the links inside the PDF file. The PDF file may be downloaded if you wish. All links within […]