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Friday, June 14, 2024 2:09:05 PM
https://www.aigbelaw.com/securitiesinvestinglawblog/2020/11/19/finra
FINRA and the SEC work together to prosecute issuers when regulatory infractions occur. Because FINRA does not hold the legal authority to prosecute any individual, it actively engages in investigations surrounding market fraud and shares its findings with the authorities that do prosecute. In this way, FINRA plays a vital role in the prosecution of those who violate securities laws. Though its principal mandate is in broker-dealings, FINRA does exercise some oversight on over-the-counter markets, such as OTCQX, OTCQB, OTCBB or pinksheets. FINRA Rule 6490, which was enacted in September 2010, created specific requirements surrounding company changes.
I believe FINRA has been conducting an investigation and that is the reason for the delay and/or denial.
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Buyer Beware
Pump and dump
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I expose stock scams to gain knowledge about investigating the stock market players and for the entertainment it invariably generates. I've received NO compensation in any form for such, except for a few thank yous...
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