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lattethunder

11/05/21 11:11 AM

#23788 RE: Sonomavalley #23767

I'm doing some looking into this to try to see what's right. I don't see any exemptions for "OTC" and nothing about "timely manner" requirements. https://www.sec.gov/files/forms-3-4-5.pdf

I do see this, but no mention of your exemptions: https://www.finra.org/filing-reporting/market-transparency-reporting/trade-reporting-faq

Could you please cite your source, or are you a securities attorney?