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Friday, October 06, 2023 1:53:42 PM
His quote says:
"Triggers for Review under FINRA RULE 6490
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;
• The issuer is not current in its reporting obligations with the Securities and Exchange Commission;
• Persons related to the corporate action are likely involved in fraudulent activities involving securities or may pose a threat to investors;
The actual article he is quoting says:
"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;
♦ The issuer is not current in its reporting obligations with the Securities and Exchange Commission;
♦ 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;
♦ Persons related to the corporate action are likely involved in fraudulent activities involving securities or may pose a threat to investors;
♦ There is significant uncertainty in the settlement and clearance process for the issuer’s securities."
OOPS busted again....IMO leaving out info in a quote and even attaching the Link and changing the quote....I mean I don't know what to call that
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