Introduction: Common Violations in SEC Enforcement ActionsWhen the Securities and Exchange Commission (SEC) brings an enforcement action for anillegal private securities offering, the most common allegations involve fraud,misrepresentation, and failure to comply with registration or exemption requirements.Three of the most frequently cited provisions are:Section 10(b) of the Securities Exchange Act of 1934Rule 10b-5 under the […] The post What Can Happen If You Conduct an Illegal Securities...
