SEC Suspensions & Revocations

[space1230]

Thanks. So if a corporate action is not filed with FINRA, is this grounds for an SEC suspension? If a corporate action is filed with FINRA, will it necessarily be denied due to the May SEC revoked status? Just curious

It shouldn't be allowed, though unfortunately that's not to say it won't be. FINRA ought to stop it, because PRPM will have to file a corporate action request with them