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SweepsMcGee

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SweepsMcGee

Re: None

Monday, 06/26/2017 7:40:33 PM

Monday, June 26, 2017 7:40:33 PM

Post# of 21894
Per FINRA's page regarding Rule 15c2-11...

http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=1675&print=1

...there are five ways for the rule to be satisfied. The third way is:

"(3) the issuer must be current in its filings with the Commission and the broker/dealer must have in its possession the issuer's latest Form 10-K and all subsequent Form 10-Qs and Form 8-Ks"

Assuming that this rule can be satisfied with OTC level quarterly and annual reports in lieu of SEC 10-Q and 10-K filings, respectively, it will be interesting to see what USNL does to conform over the next couple of weeks, if anything.
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