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Friday, August 12, 2022 12:35:54 PM
How many boxes does DBMM check?
1. Trading Suspensions.
2. Concentration of ownership of the majority of outstanding, freely tradable stock.
4. Large reverse stock splits.
5. Companies in which assets are large and revenue is minimal without any explanation.
6. Shell corporation's acquisition of private company.
7. Offerings under Rule 504 of Regulation D where one or more of the following factors are present:
- Little capital is raised without business purpose.
- The Rule 504 offering is preceded by an unregistered offering to insiders.
- Sales immediately following the Rule 504 offering are at substantially higher prices.
- A shell company and an operating company merge, which results in the operating entity becoming the surviving entity.
8. Significant write-up of assets upon a company obtaining a patent or trademark for a product.
9. Significant asset consists of OTC Bulletin Board or Pink Sheet companies.
10. Assets acquired for shares of stock when the stock has no market value.
11. Significant write-up of assets in a business combination of entities under common control.
12. Unusual auditing issues.
13. Extraordinary items in notes to the financial statements, e.g., unusual related party transactions.
14. Suspicious financial statement or other regulatory documents.
15. Broker-dealer receives substantially similar offering documents from different issuers.
16. Extraordinary gains in year-to-year operations.
17. Reporting company fails to file an annual report.
18. Disciplinary actions against an issuer's officers, directors, general partners, promoters, or control persons.
19. Significant events involving an issuer or its predecessor, or any of its majority owned subsidiaries.
20. Request to publish both bid and ask quotes for a certain issuer's stock.
21. Issuer or promoter offers to pay a "due diligence" fee.
22. Regulation S transactions for domestic issuers.
23. S-8 Registration stock.
24. "Hot industry" microcap stocks.
25. Issuer affiliates or related persons with unusual trading activity.
26. Companies that change names frequently.
27. Companies that change their business model frequently.
https://www.colonialstock.com/15c211.htm
Recent DBMM News
- Form 10-Q - Quarterly report [Sections 13 or 15(d)] • Edgar (US Regulatory) • 07/15/2024 08:30:45 PM
- Form 10-Q - Quarterly report [Sections 13 or 15(d)] • Edgar (US Regulatory) • 04/15/2024 08:54:16 PM
- Form 10-Q - Quarterly report [Sections 13 or 15(d)] • Edgar (US Regulatory) • 01/16/2024 09:32:32 PM
- Form 10-K - Annual report [Section 13 and 15(d), not S-K Item 405] • Edgar (US Regulatory) • 11/29/2023 09:31:08 PM
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