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janice shell

01/07/18 1:59 AM

#37486 RE: sampson one #37484

What do you mean by "allocation of assets"??

FINRA has a fairly limited role where OTC issuers are concerned. They process--or, in relatively rare cases, refuse to process--corporate action requests.

My point is that the suspension of CRCW was a punishment. The SEC saw problems, and suspended. Why should it, or FINRA, simply let it off the hook? For all we know, the investigation continues.