InvestorsHub Logo
icon url

CGardener

04/29/14 9:43 AM

#87480 RE: wagonwheel47 #87474

all of the SEC reporting and compliance obligations still apply. if they fail to file 10-Qs, they give the SEC a reason to revoke their registration. they also face other types of enforcement action. they still have to file all of the required 10-Qs -- a 10-K isn't enough.
icon url

lucky, mydog

04/29/14 9:51 AM

#87487 RE: wagonwheel47 #87474

if they become delinquent in their filing obligations they would be subject to suspension again and if they remained delinquent, their registration could be revoked. they could also file to become a non filer but they can't do that unless they are current.