China Growth Stocks

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# What does a fifth character "E" indicate for an OTCBB security?
The fifth character "E" on an OTCBB trading symbol indicates that FINRA does not have information which demonstrates that the issuer of the security is compliant with the filing requirements of Rule 6530, either because the issuer is delinquent in the required filings, has filed an incomplete filing, or, for non-EDGAR filers, because FINRA has not been provided a copy of the most recent filing.

The purpose of appending an "E" to the security symbol is to alert all interested parties that the security will be removed from the OTCBB unless evidence of compliance is provided prior to the end of the applicable grace period (30 days for EDGAR filers, 60 days for non-EDGAR filers). Anyone possessing evidence of compliance with Rule 6530 may provide that information by contacting the OTCBB Issuer Filings Department.

# My company filed on time, why was an "E" added to our trading symbol?
Other possible explanations for an "E" on the trading symbol include:

* The audit opinion is qualified or was not provided
* No SAS-100 review was performed (quarterly filings only)
* The required 302 Certification was not included in the submission to the SEC
* The required 906 Certification was not included in the submission to the SEC
* The auditor was not registered with the Public Company Accounting Oversight Board
* The 404 opinion was not provided
* The filing header was incorrect. It is essential that the filing type, fiscal year end and period end dates are recorded correctly on both the cover page and the document tags.

If the certifications are missing from your filing, FINRA will not consider the report to be complete. You must amend your filing to include the certifications. Because the certification relates to the entire Form 10-K or 10-Q filing, the amendment should include the entire filing, not just the signature pages. You should also notify the OTCBB Issuer Filings Department to get the "E" removed. Please see the next FAQ for further instructions.