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Re: None

Tuesday, 02/28/2023 8:51:39 PM

Tuesday, February 28, 2023 8:51:39 PM

Post# of 171908
Here we go found it

6490. Processing of Company-Related Actions – FINRA
VERSIONS

Aug 22, 2022 onwards

Procedures for Reviewing Submissions:
(3) Deficiency Determination:
“In instances where the Department makes such a deficiency determination, the request to process documentation related to the SEA Rule 10b-17 Action or Other Company-Related Action, as applicable, will be closed, subject to paragraphs (d)(4) and (e) of this Rule. The Department shall make such deficiency determinations solely on the basis of one or more of the following factors: (2) the issuer is not current in its reporting requirements, if applicable, to the SEC or other regulatory authority"

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