Category: UNREGISTERED OFFERINGS

Unregistered Offerings refer to the sale of securities that are not registered with the Securities and Exchange Commission (SEC) or another regulatory body, as required by securities laws. These offerings typically occur in private placements or other transactions exempt from registration under specific provisions of securities regulations. The legal consequences of conducting unregistered offerings can be significant, including civil and criminal penalties such as fines, injunctions, and potentially imprisonment for those involved in fraudulent activities. Investors in unregistered offerings may also face risks due to reduced disclosure requirements, making it crucial for issuers and participants to ensure compliance with applicable securities laws and regulations to avoid regulatory enforcement actions and protect investor interests.

SEC-PR-2024-16

File ID: SEC-PR-2024-16 Date: February 7, 2024 Accessed: June 23, 2024 Source: https://www.sec.gov/news/press-release/2024-16 PDF: Download (Links work in this file) Categories: UNREGISTERED OFFERINGS Excerpt: SEC Charges TradeStation Crypto for Unregistered Offer and Sale of Crypto Asset Lending Product. Florida-based company agrees to settle charge concerning interest feature on crypto asset accounts. FOR IMMEDIATE RELEASE […]