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Wednesday, August 19, 2015 2:24:06 AM
Here's your other answer:
SEC Rule 10b-17 requires any issuer with any class of publicly traded securities to give notice to FINRA (or, if the securities are listed, to the exchange on which they are listed) of any:
•dividend or other distribution, whether in cash or in kind (except an ordinary interest payment of a debt security)
•stock split or reverse stock split
•rights or other subscription offering.
The circumstances in which FINRA may make such a deficiency determination are limited to the following:
•The issuer is not current in its reporting obligations to the SEC or other regulatory authority
•FINRA knows that the issuer or persons associated with or related to the issuer or the corporate action may be potentially involved in fraudulent activities related to the securities markets or may pose a threat to public investors
http://www.fromthesoxup.com/2011/11/notices-of-corporate-actions-by-public-issuers-without-exchange-traded-securities/
Deficient
Delinquent
Denied
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