Thursday, November 25, 2021 3:49:09 AM
OTC - FINRA - Corporate Actions Daily List
________________________________________________________________
SEC Form 15-12G
Going Dark to Avoid an
SEC Suspension
https://investorshub.advfn.com/boards/read_msg.aspx?message_id=151677376
Trading Suspensions:
Answers to Investors Questions
https://investorshub.advfn.com/boards/read_msg.aspx?message_id=151005106
SEC.gov Updates:
Trading Suspensions
https://www.sec.gov/rss/litigation/suspensions.xml
Trading Suspensions
https://www.sec.gov/litigation/suspensions.shtml
OTC Markets - Suspensions / Halts
https://www.otcmarkets.com/market-activity/corporate-actions
________________________________________________________________
FINRA - Daily List
https://otce.finra.org/otce/dailyList
OTC Markets - Symbol Changes / Reverse Splits
https://www.otcmarkets.com/market-activity/corporate-actions
FINRA - Daily List: Reverse Splits
https://otce.finra.org/otce/dailyList?viewType=Dividends%2FDistributions%2FSplits
________________________________________________________
New SEC Rules for “Pink No Information” OTC securities
_________________________________________________________________
August 13, 2021
was originally the date that you would
no longer be able to buy
“Pink No Information” OTC securities
through TD Ameritrade,
but that date has been pushed back.
There is not a set date for that yet,
however the amendment
will officially go into effect for everyone
on September 28.
_____________________________________________
Starting September 28, 2021,
you will no longer be able to Buy
“Pink No Information” OTC securities
through E*TRADE.
Other restrictions related to the purchase
of these securities may apply sooner.
Please keep in mind that the upcoming changes
will negatively affect the value
of any “Pink No Information” OTC securities
you hold now or in the future.
______________________________________________
On September 28, 2021,
new requirements take effect that will impact the market
for—and value of—certain “over-the-counter (OTC) securities”
you currently hold or have held in the past.
The new rules apply to “Pink No Information” OTC securities
of companies that fail to publicly report and keep current financial
and other company information and will restrict
the ability of U.S. brokers, like E*TRADE
from making these products generally available.
Some background on the new requirements
The Securities and Exchange Commission (SEC)
recently adopted amendments to SEC Rule 15c2-11
governing the submission and publication of OTC quotations.
These amendments will prohibit broker-dealers
from submitting or publicly disseminating
bid/ask quotations for OTC securities of issuers
that do not meet enhanced information filing requirements.
Securities of issuers
that make the required information
publicly available by the deadline in the rule
should not be affected.
_________________________________________________________________
Understand the SEC amendments for OTC securities
https://www.sec.gov/news/press-release/2020-212
Learn more about quotations for OTC securities
https://www.federalregister.gov/documents/2020/10/27/2020-20980/publication-or-submission-of-quotations-without-specified-information
________________________________________________________________
SEC Form 15-12G
Going Dark to Avoid an
SEC Suspension
https://investorshub.advfn.com/boards/read_msg.aspx?message_id=151677376
Trading Suspensions:
Answers to Investors Questions
https://investorshub.advfn.com/boards/read_msg.aspx?message_id=151005106
SEC.gov Updates:
Trading Suspensions
https://www.sec.gov/rss/litigation/suspensions.xml
Trading Suspensions
https://www.sec.gov/litigation/suspensions.shtml
OTC Markets - Suspensions / Halts
https://www.otcmarkets.com/market-activity/corporate-actions
________________________________________________________________
FINRA - Daily List
https://otce.finra.org/otce/dailyList
OTC Markets - Symbol Changes / Reverse Splits
https://www.otcmarkets.com/market-activity/corporate-actions
FINRA - Daily List: Reverse Splits
https://otce.finra.org/otce/dailyList?viewType=Dividends%2FDistributions%2FSplits
________________________________________________________
New SEC Rules for “Pink No Information” OTC securities
_________________________________________________________________
August 13, 2021
was originally the date that you would
no longer be able to buy
“Pink No Information” OTC securities
through TD Ameritrade,
but that date has been pushed back.
There is not a set date for that yet,
however the amendment
will officially go into effect for everyone
on September 28.
_____________________________________________
Starting September 28, 2021,
you will no longer be able to Buy
“Pink No Information” OTC securities
through E*TRADE.
Other restrictions related to the purchase
of these securities may apply sooner.
Please keep in mind that the upcoming changes
will negatively affect the value
of any “Pink No Information” OTC securities
you hold now or in the future.
______________________________________________
On September 28, 2021,
new requirements take effect that will impact the market
for—and value of—certain “over-the-counter (OTC) securities”
you currently hold or have held in the past.
The new rules apply to “Pink No Information” OTC securities
of companies that fail to publicly report and keep current financial
and other company information and will restrict
the ability of U.S. brokers, like E*TRADE
from making these products generally available.
Some background on the new requirements
The Securities and Exchange Commission (SEC)
recently adopted amendments to SEC Rule 15c2-11
governing the submission and publication of OTC quotations.
These amendments will prohibit broker-dealers
from submitting or publicly disseminating
bid/ask quotations for OTC securities of issuers
that do not meet enhanced information filing requirements.
Securities of issuers
that make the required information
publicly available by the deadline in the rule
should not be affected.
_________________________________________________________________
Understand the SEC amendments for OTC securities
https://www.sec.gov/news/press-release/2020-212
Learn more about quotations for OTC securities
https://www.federalregister.gov/documents/2020/10/27/2020-20980/publication-or-submission-of-quotations-without-specified-information
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