Home > Boards > US OTC > Oil/Gas/Natural Energy Production > Treaty Energy Corp (TECO)

It's as I said and applies to all

Public Reply | Private Reply | Keep | Last ReadPost New MsgReplies (2) | Next 10 | Previous | Next
tdbowieknife Member Profile
 
Followed By 121
Posts 22,970
Boards Moderated 12
Alias Born 04/14/10
160x600 placeholder
tdbowieknife   Saturday, 04/18/15 09:28:46 PM
Re: kanola post# 88103
Post # of 116039 
It's as I said and applies to all SEC suspended stocks... No Market Maker is going to file a form 211 on behalf of Treaty Energy. There is no reason nor incentive to... In fact they would be taking on a liability for nothing in return. They cannot be compensated.

The link AGAIN...

Part 5 – Certification
The undersigned must have a reasonable basis for believing that the information accompanying this form is accurate in all material respects and that the source of the information is reliable.

By signing this document:

I acknowledge and certify that my firm has a reasonable basis for believing that the information accompanying this form (including required EDGAR filed documents not provided) is accurate in all material respects and that the sources of information are reliable (“affirmative review obligation”) as required by Rule 15c2-11 and FINRA Rule 6432;

• I understand and acknowledge that this affirmative review obligation applies to all subsequent submissions made in connection with this Form 211 application;

• I certify that I have examined this form and, to the best of my knowledge and belief, it is true, correct, and complete;

• I certify that neither_______________ [member name] nor persons associated with__________________ [member name] have accepted or will accept any payment or other consideration, directly or indirectly, from the Issuer of the security to be quoted, or any affiliate or promoter thereof, for publishing a quotation or acting as market maker in the security to be quoted, or submitting an application in connection therewith, including the submission of this Form 211; and

• I understand and acknowledge that copies of this form, accompanying documents, and subsequent submissions made in connection with this Form 211 application may be provided to the Securities and Exchange Commission, other regulatory agencies,
or to the quotation medium(s) on which the security is or will be quoted. Name, title and signature of firm employee to contact regarding regarding information contained in this Form 211 application.

And....

(b)(3) Provide any material information, including adverse information regarding the Issuer, that your firm is aware of or has in its possession. (Do not list information already provided in Part 2.) If your firm does not possess such information, state “None” below. Identify any applicable information by name and date.


This material information would be things like all the lawsuits and the SEC fraud charges...

Keep in mind that this is NOT Treaty Energy that fills out this form. It would be the sponsoring Market Marker and that Market Maker would be stating that Treaty is free of fraud... That of course is NOT possible when there are SEC charges of fraud pending... Then even IF by some miracle a Market Maker does sponsor Treaty Energy and files a form 211 It needs to be approved by FINRA and with approval of the SEC as they would surely be notified.


http://www.finra.org/sites/default/files/AppSupportDoc/p126234.pdf

..



Grey Market


..


.




Public Reply | Private Reply | Keep | Last ReadPost New MsgReplies (2) | Next 10 | Previous | Next
Follow Board Follow Board Keyboard Shortcuts Report TOS Violation
X
Current Price
Change
Volume
Detailed Quote - Discussion Board
Intraday Chart
+/- to Watchlist