Wednesday, September 06, 2023 8:48:54 AM
Triggers for Review under FINRA RULE 6490, The items Hi_Lo never mentions
A FINRA review will be triggered if any of the five factors set forth in Rule 6490 are thought to be present:
♦ FINRA believes the forms are incomplete, inaccurate or filed without the appropriate corporate authority;
Sharp, GVSI Lawyers got this covered
♦ The issuer is not current in its reporting obligations with the Securities and Exchange Commission;
GVSI is current with it's reporting obligations
♦ Persons involved in or related to the corporate action are the subject of pending or settled regulatory action or are under investigation by a regulatory body or are the subject of a pending criminal action related to fraud or securities law violations;
Sharp/GVSI no issues
♦ Persons related to the corporate action are likely involved in fraudulent activities involving securities or may pose a threat to investors;
Sharp/GVSI no issues
♦ There is significant uncertainty in the settlement and clearance process for the issuer’s securities.
GVSI no settlement/clearance issues
Typical Hi_Lo, never wants to tell the whole story, just tries to spin it to his liking, then when proven fraudulent says "I never said that"
What a fairytale 4th and 5th hoot!
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