Monday, September 11, 2023 11:54:52 AM
How do you know?
"A Wells notice is a letter that the SEC sends to people or firms at the end of an investigation that states the SEC is planning to bring an enforcement action against them1. A Wells notice is not a formal allegation of wrongdoing, but it indicates that the SEC staff has found enough evidence to pursue a case. Whether a Wells notice is a material event that needs to be reported depends on the nature and severity of the potential violation, the likelihood of an enforcement action, and the impact on the business or reputation of the person or firm. There is no definitive rule or guidance on this matter"
The flurry of very overdue filings of egregiously delinquent Form 4s was prompted by something, after all.
Recent VPLM News
- Form 144 - Report of proposed sale of securities • Edgar (US Regulatory) • 05/17/2024 05:31:08 PM
- Form 144 - Report of proposed sale of securities • Edgar (US Regulatory) • 05/17/2024 04:01:16 PM
- Form 144 - Report of proposed sale of securities • Edgar (US Regulatory) • 05/17/2024 01:43:52 PM
- Form 10-Q - Quarterly report [Sections 13 or 15(d)] • Edgar (US Regulatory) • 05/15/2024 07:02:28 PM
- Form 4 - Statement of changes in beneficial ownership of securities • Edgar (US Regulatory) • 05/10/2024 01:13:52 AM
- Form 4 - Statement of changes in beneficial ownership of securities • Edgar (US Regulatory) • 05/10/2024 12:23:52 AM
- ILUS International Inc (ILUS) Sees 557% Q1 Revenue Increase, Begins National Exchange Uplist Procedure for Subsidiaries and Company • InvestorsHub NewsWire • 06/05/2023 12:15:00 PM
FEATURED Music Licensing, Inc. (OTC: SONG) Subsidiary Pro Music Rights Secures Final Judgment of $114,081.30 USD, Demonstrating Strength of Licensing Agreements • May 17, 2024 11:00 AM
Greenlite Ventures Inks Deal to Acquire No Limit Technology • GRNL • May 17, 2024 3:00 PM
VPR Brands (VPRB) Reports First Quarter 2024 Financial Results • VPRB • May 17, 2024 8:04 AM
ILUS Provides a First Quarter Filing Update • ILUS • May 16, 2024 11:26 AM
Cannabix Technologies and Omega Laboratories Inc. enter Strategic Partnership to Commercialize Marijuana Breathalyzer Technology • BLO • May 16, 2024 8:13 AM
Avant Technologies to Revolutionize Data Center Management with Proprietary AI Software Platform • AVAI • May 16, 2024 8:00 AM