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Re: jojobeans post# 17049

Monday, 06/07/2010 6:24:10 PM

Monday, June 07, 2010 6:24:10 PM

Post# of 22746
Roger, that. I do think that when peeps post that, it's in the sense of "No MM will touch it w/o audited financials," due to the extra burden--not that they're quoting the regs.

That being said, any given broker-dealer is not going to be impressed by a PR. Here, look--this is what one law firm shows prospective clients about 15c2-11 as a first-time deal. That is, (coming off) "suspension" is not even mentioned:

http://www.huntlawgrp.com/sec-law/finra-form-15c2-11-filings

Also, notice the final line of their intro copy: Some broker-dealers may require more information.

It's a pretty thorough list...

Adventures in microcapitalism

http://investorshub.advfn.com/boards/board.asp?board_id=11942

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