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In addition to the enforcement action, the SEC staff today published a Risk Alert and FAQs to remind broker-dealers of their obligations when they engage in unregistered transactions on behalf of their customers.

The securities laws generally require all offers and sales of securities to be etrade penny stock rules with the SEC unless those offers and sales qualify for an exemption.

When brokers facilitate an unregistered sales transaction on behalf of a customer, they must reasonably ensure that an exemption does indeed apply.

Following the resales, the customers immediately wired the sales proceeds out of their accounts.

Maisel and Richard E. Johnston with assistance from Kyle DeYoung. The case was supervised by Jennifer S.

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