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janice shell

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janice shell

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Re: Opti Mist post# 33704

Wednesday, 09/13/2017 9:32:57 PM

Wednesday, September 13, 2017 9:32:57 PM

Post# of 35791
He's generally right, but has the timing and order of events a bit wrong.

1. Agree to accept revocation. Wait till that is finalized by the administrative judge.

2. File a new Form 10. That's something Campos has done before.

3. When the new Form 10 becomes effective--and Campos has to get it right; while effectiveness is automatic after 60 days, the SEC can require amendments--it'll be time to have an MM file a Form 211 with FINRA.

That last isn't a matter of a couple of weeks; it can take months.
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