Thursday, July 28, 2022 11:08:09 AM
Issuer Information
The nature of the issuer information that is required to be reviewed for material accuracy and reliability, and to be current and publicly available, turns on the nature of the issuer under federal securities laws related to issuer disclosures. For example, the issuer information would be a Securities Act of 1933 (Securities Act) Section 10(a) prospectus within 90 days of effectiveness, a Securities Act Regulation A offering circular that was qualified less than 40 days prior to the quote date, an annual report filed with the SEC under Section 13 or 15(d) of the Securities Exchange Act of 1934 (Exchange Act) and OTHER PERIODIC and CURRENT REPORTS, AN ANNUAL REPORT FILED PURSUANT TO REGULATION Crowdfunding, an annual statement of an insurance company per Section 12(g)(2)(G)(i), or information published as required by a private foreign issuer exempt from registration under SEC Rule 12g3-2(b).
https://www.wilmerhale.com/insights/client-alerts/20201029-sec-amends-rule-15c2-11-to-enhance-publicly-available-information-for-securities-quoted-in-the-over-the-counter-markets
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