Some Corrections: Caveat Emptor is not assigned by the SEC - it is an OTC sign. Caveat Emptor is assigned if they don't file. Not because they are trips. Filings are not through brokers - they are filed with the SEC. Brokers choose whether to allow trading on Caveat Emptor, Pink stop and pink yield. E*TRADE allows all. All current and past SEC filings can be found at OTCMarkets.com, under 'filings' for any ticker. It is the VERY first thing I read about any ticker.