Links to Learning

[Mikey]

Stuck in a stock doing a r/s?.........just OBJECT:...look

.......http://www.sec.gov/rules/sro/finra/2010/34-62434.pdf

However, FINRA would, in its discretion, be permitted to review and process a Company-Related Action based on information from a third party when it believes that such action is necessary for the protection of investors and the public interest and to maintain fair and orderly markets, and/or FINRA has been unable to obtain notification of the Company-Related Action from the issuer.
The proposed rule would permit the Department to request additional information or documentation as may be necessary for the Department to verify the accuracy of the information submitted by the Requesting Party. If the Requesting Party does not sufficiently respond within 90 calendar days of the date the Department requests additional information or documentation, the request would be deemed “lapsed” and then closed. The proposed rule also would provide that if a request to process a Company-Related Action is deficient, and the Department determines that it is necessary for the protection of investors and the public interest and to maintain fair and orderly markets, the Department may determine that documentation related to a Company-Related Action shall not be processed.