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Thursday, October 24, 2019 5:08:27 PM
Factors that may cause an issuer’s securities to lose DTC eligibility include:
i. having multiple name changes and reverse splits;
ii. issuing improperly free trading shares which have not been registered with the SEC in reliance upon Rule 504, 144 or upon conversion of debt;
iii. engaging in a reverse merger with a company that has been involved in a state receivership or custodianship action or other action which resulted in a state court order to obtain control of a public shell company;
iv. engaging in a reverse merger with a public shell company which resulted in the issuance or transfer of unregistered free trading shares;
v. being involved in improper investor relations activities including spam campaigns, pump and dump schemes, or other fraudulent activities; and
vi. being subject to an SEC investigation or being associated with stock promoters, brokers, lawyers or accountants that have been subject to investigations by the SEC, FINRA or the Justice Department.
Recent ATDS News
- Form 8-K - Current report • Edgar (US Regulatory) • 09/20/2023 08:05:42 PM
- Form S-1/A - General form for registration of securities under the Securities Act of 1933: [Amend] • Edgar (US Regulatory) • 08/29/2023 09:25:53 PM
- Form 10-Q - Quarterly report [Sections 13 or 15(d)] • Edgar (US Regulatory) • 08/14/2023 08:13:21 PM
- Form 8-K - Current report • Edgar (US Regulatory) • 07/24/2023 09:27:27 PM
- Form 4 - Statement of changes in beneficial ownership of securities • Edgar (US Regulatory) • 07/06/2023 09:18:39 PM
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