Securities Alert: SEC’s Microcap Fraud Working Group Roundtable Airs Problems, Offers Suggestions
10/24/2011
By Megan N. Gates and C. Quincy Ewell
On October 17, 2011, the SEC’s Microcap Fraud Working Group hosted a public roundtable to discuss the regulatory issues involved in the execution, clearance, and settlement of microcap securities. The Working Group is responsible for detecting and deterring fraud involving microcap securities.
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