Category Archives: Money FAQs

Frequently Asked Questions

What are unregistered securities or stocks?

Before securities, like stocks, bonds and notes, can be offered for sale to the public, they first must be registered with the Securities and Exchange Commission (SEC). Any stock that does not have an effective registration statement on file with the SEC is considered "unregistered." To sell or attempt to sell a financial security before it is registered is considered a felony.However, certain exemptions apply.