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THall

03/05/19 3:05 PM

#47224 RE: LCRG6215 #47222

Actually if you read her post then you would realize it does in fact have to do with here and now.

janice shell Member Level Tuesday, 03/05/19 02:59:21 PM
Re: THall post# 47219 0
Post # of 47224

The ones in Canada can be troublesome enough. Should TRON want to effect a corporate action--a name and ticker change or reverse or forward split, for example--FINRA might refuse to process it:

(3) Deficiency Determination

In circumstances where an SEA Rule 10b-17 Action or Other Company-Related Action is deemed deficient, the Department may determine that it is necessary for the protection of investors, the public interest and to maintain fair and orderly markets, that documentation related to such SEA Rule 10b-17 Action or Other Company-Related Action will not be processed. In instances where the Department makes such a deficiency determination, the request to process documentation related to the SEA Rule 10b-17 Action or Other Company-Related Action, as applicable, will be closed, subject to paragraphs (d)(4) and (e) of this Rule. The Department shall make such deficiency determinations solely on the basis of one or more of the following factors: (1) FINRA staff reasonably believes the forms and all supporting documentation, in whole or in part, may not be complete, accurate or with proper authority; (2) the issuer is not current in its reporting requirements, if applicable, to the SEC or other regulatory authority; (3) FINRA has actual knowledge that the issuer, associated persons, officers, directors, transfer agent, legal adviser, promoters or other persons connected to the issuer or the SEA Rule 10b-17 Action or Other Company-Related Action are the subject of a pending, adjudicated or settled regulatory action or investigation by a federal, state or foreign regulatory agency, or a self-regulatory organization; or a civil or criminal action related to fraud or securities laws violations; (4) a state, federal or foreign authority or self-regulatory organization has provided information to FINRA, or FINRA otherwise has actual knowledge indicating that the issuer, associated persons, officers, directors, transfer agent, legal adviser, promoters or other persons connected with the issuer or the SEA Rule 10b-17 Action or Other Company-Related Action may be potentially involved in fraudulent activities related to the securities markets and/or pose a threat to public investors; and/or (5) there is significant uncertainty in the settlement and clearance process for the security.

http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=9364

janice shell

03/05/19 3:05 PM

#47225 RE: LCRG6215 #47222

I just explained that:

https://investorshub.advfn.com/boards/read_msg.aspx?message_id=147304714

An active CTO is always a problem.

schecter

03/05/19 3:19 PM

#47230 RE: LCRG6215 #47222

It has everything to do with the here and now. Its what Toron does. Tries to acquire things with no money or assets in order to falsely inflate the price. Heck just go back in this very board 6 or 7 years same story just different names.