Wednesday, May 20, 2020 4:24:38 PM
Conclusion of SEC Investigation.
On August 19, 2016, Vitality Biopharma, Inc. (the “Company”, “we” or “our”) filed a registration statement on Form S-1 (“Form S-1”) with the Securities and Exchange Commission (“SEC”). We were subsequently advised that the SEC issued a combined Formal Order of Private Investigation (pursuant to Section 20(a) of the Securities Act of 1933 and Section 21(a) of the Securities Exchange Act of 1934) and of Examination (pursuant to Section 8(e) of the Securities Act of 1933) with respect to the Form S-1. On November 14, 2018, the Company was advised that the staff of the Enforcement Division of the SEC was terminating its Section 8(e) Examination.
On May 12, 2020, our outside legal counsel received a letter from the staff of the SEC’s Enforcement Division stating that it has concluded the investigation as to the Company, and that it did not intend to recommend an enforcement action by the SEC against the Company.
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