
Wednesday, December 22, 2021 5:10:29 PM
Policy
Source:
https://www.otcmarkets.com/learn/caveat-emptor
OTC Markets Group designates certain securities as 'Caveat Emptor' and places a skull and crossbones icon
next to the stock symbol to inform investors that there may be reason to exercise additional care and perform
thorough due diligence before making an investment decision in that security. Quotations will not be displayed
for Caveat Emptor securities in the Pink Limited or Expert Market tiers.
The Caveat Emptor Designation may be assigned when OTC Markets becomes aware of one or more of the following:
Promotion — The security is the subject of stock promotion that may be misleading or manipulative. Promotional
activities may include news releases, spam email, and newsletters, whether they are published by the issuer
or a third party. See OTC Markets Group's Policy on Stock Promotion.
Investigation of Fraud or Other Criminal Activities — There is an investigation or other indication of fraudulent
or other criminal activity involving the company, its securities or insiders.
Suspension/Halt — A regulatory authority or an exchange has halted or suspended trading for public interest
concerns (i.e. not a news or earnings halt).
Undisclosed Corporate Actions — The security or company is the subject of a corporate action, such as a reverse merger,
stock split, or name change, without adequate current information being publicly available.
Other Public Interest Concern — OTC Markets Group may determine that there is a public interest concern
regarding the security. Such concerns may include but are not limited to promotion, spam or disruptive
corporate actions even when adequate current information is available.
When Does Caveat Emptor Get Removed?
OTC Markets Group may review a Caveat Emptor designation upon request by the company and may determine, in its sole discretion,
to remove the designation. The Caveat Emptor designation is typically not removed within the first 30 days of
designation. To be eligible for a review, a company must meet the qualifications for Pink Current Information, have a
verified the information on its company profile on www.otcmarkets.com, and demonstrate to OTC Markets Group that
there is no longer a public interest concern. OTC Markets Group requires Caveat Emptor securities that are
not eligible for proprietary broker quotations (Unsolicited Only) to have a Form 211 cleared by FINRA
in order to be eligible for a review (e.g. securities previously halted or trade suspended by a regulatory authority).
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