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Soliciting Orders for Unregistered, Non-Exempt Securities

Dashboard > Violations > Soliciting Orders for Unregistered, Non-Exempt Securities

Soliciting Orders for Unregistered, Non-Exempt Securities

In order to understand why soliciting orders for unregistered, non-exempt securities this is wrong, you first have to understand what the terms exempt and non-exempt mean—and why they're important.

A security that is exempt is one that is not required to be registered with the State and/or the SEC. On the other hand, a non-exempt security is—you guessed it—required to be registered with the State and/or the SEC before it can be sold.

When it comes to non-exempt securities, there are all ...

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