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SEC Aims to Expose Unregistered Soliciting Entities Online

The Securities and Exchange Commission is looking to expose the growing number of unregistered entities engaged in solicitations of securities transactions by posting complaints about such firms on the agency's Web site.

By Michelle A. Samaad | Updated on September 26, 2007

WASHINGTON — The Securities and Exchange Commission is looking to expose the growing number of unregistered entities engaged in solicitations of securities transactions by posting complaints about such firms on the agency’s Web site.

Through its Public Alert: Unregistered Soliciting Entities or PAUSE program, the commission said it will publish on its Web site certain factual information about unregistered soliciting entities that have been the subject of complaints forwarded by investors and others around the globe, including foreign securities regulators.

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