News Focus
News Focus
Followers 0
Posts 13277
Boards Moderated 0
Alias Born 05/06/2016

Re: junkHustler post# 4275

Wednesday, 09/22/2021 5:44:44 PM

Wednesday, September 22, 2021 5:44:44 PM

Post# of 4862
Whaaaat?! LOL

OTC & FINRA ain't the SEC, AFAIK.


I was told directly by the SEC:

Please note that Halo Collective Inc. is not registered with the SEC and as such, this entity does not file disclosures with the SEC.

As you may know, under the Securities Act of 1933, any offer to sell securities must either be registered with the SEC or meet an exemption. Regulation D provides three exemptions from the registration requirements, allowing some smaller companies to offer and sell their securities without having to register the securities with the SEC. Form D is a brief notice that includes basic information about the company and the offering, such as the names and addresses of the company?s executive officers, the size of the offering and the date of first sale. Additional information regarding Regulation D is available at http://www.sec.gov/answers/regd.htm. You should be aware that issuers that use Regulation D to raise capital generally do not become subject to the SEC's periodic reporting requirements.

You may wish to read our Investor Bulletin discussing the risks associated with private placements under Regulation D, which is available at https://www.investor.gov/introduction-investing/general-resources/news-alerts/alerts-bulletins/investor-bulletins-31. As noted in the bulletin, "Private placements may offer great opportunity. However, the attractive potential rewards often come with high risks of loss."

With respect to Halo Collective Inc., which trades on OTC Markets, we would suggest that you review the available information on MicroCap Securities at https://www.investor.gov/introduction-investing/general-resources/news-alerts/alerts-bulletins/investor-bulletins/investor-3.




I trust you completed that spreadsheet and alerted NEO and the authorities? big smile

Volume:
Day Range:
Bid:
Ask:
Last Trade Time:
Total Trades:
  • 1D
  • 1M
  • 3M
  • 6M
  • 1Y
  • 5Y