Complete list of SEC suspended stocks from January 1st, 2010 to Dec. 29, 2017. In the past 8 years there have been 3,025 SEC Suspensions where ALL stocks were sent to the Grey Market after the 10 market days SEC Suspension expired. Of the 3,025 Suspended stocks 1,062 remain on the Grey Market, 1,636 stock registrations were Revoked, and FINRA has deleted 327 OTC symbols of previously suspended stocks that are not registered with the SEC.
There are two types of SEC Suspensions, one for SEC Registered Issuers/Filers that are delinquent in filing Financials. The SEC Suspension is always accompanied with an Administrative Proceeding outlining the Financials delinquencies. Those stocks will have their stock registrations revoked, NO EXCEPTIONS!! Stocks in this category will remain on the Grey Market until the SEC Admin Law Judge revokes the stock registration. Note: The SEC occasionally files Administrative Proceedings without suspending a stock when the stock has been illiquid for an extended time.
The second type of SEC Suspension involves questions about adequacy and/or accuracy of company information, including news releases, share issuances, stock promotions, whatever else the SEC may allege. This group comprises SEC Registered stocks or OTC stocks that are not registered with the SEC. Both categories of stocks will remain on the Grey Market until either the SEC Admin Law Judge revokes the registrations of SEC Registered stocks or until FINRA deletes the ticker symbols of OTC stocks that are not registered with the SEC.
Additional notes at the bottom of the lists.
1,062 Grey Market stocks: *** Comprised of delinquent SEC Registered Filers pending stock revocation and OTC stocks not registered with the SEC pending FINRA deletion and possible SEC Litigation. Note: The SEC forbids ALL Market Makers from providing any quotations or trading market when the 10 day Suspension expires.
327 OTC stocks that were not registered with the SEC and had been suspended under QUESTIONS about adequacy and accuracy of information and remained on the Grey Market until FINRA eventually deleted the ticker symbols:
NOTE: It is imperative to differentiate between delinquent SEC Registered stocks on the OTC from the non-reporting and not registered stocks on the OTC. Even if an SEC Registered Filer submits Financials to OTC Markets but has not filed Financials to the SEC for an extended period of time those stocks WILL eventually be suspended and thereafter have their stock registrations REVOKED!! The first due diligence on any OTC stock is to check with EDGAR to see if that stock is registered with the SEC and if the stock is a delinquent SEC Registered Filer. If a stock is a severely delinquent SEC Registered Filer DO NOT BUY THAT STOCK under any circumstances, exampled by the 1,636 delinquent filers that were suspended and were subsequently revoked.
NOTE: Of the 3,025 Suspended stocks only EDVP (now PRLX), SDRG (from Sept. 17,2012 SEC Suspension), and PHOT got off of the Grey Market, a very rare occurrence. It is perilous to think that any other Grey Market stock will get off of the Grey Market, or for SEC Registrant Filers to avoid revocation.
NOTE: DHCC re-registered with the SEC on Oct. 14,2015 after the stock registration had been revoked on Sept. 14,2014. *** This board has post numbers 1162 for revocation and 1494 for the FORM 10 re-registration.
NOTE: FTNW re-registered with the SEC on Feb 7,2017 after the stock registration had been revoked on Sept.12,2014. This board has post numbers 1171 for revocation and 1879 for the FORM 10 re-registration.
Note: CANN re-registered with the SEC on Dec. 23,2016. Post number 2035 on this board.
NOTE: Foreign Issuers may also be on the Grey Market until they obtain Regulatory approvals to be listed on any U.S. Exchange or the OTC. Foreign Issuers on the Grey Market are NOT to be confused with or compared to OTC stocks that are specifically on the Grey Market due to an SEC Suspension.