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Replies to post #23052 on Dalrada Financial Corp (DFCO)
XenaLives
04/30/23 12:36 AM
#23053 RE: XenaLives #23052
frankie_fillet Re: None Tuesday, May 26, 2009 12:52:59 PM Post# 6098 of 6124 May 22, 2009 (SECURITIES AND EXCHANGE COMMISSION RELEASE/ContentWorks via COMTEX) -- On May 22, the Commission revoked the registration of each class of registered securities of Warning Management Services, Inc. (Warning Management) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, Warning Management consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Warning Management Services, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Warning Management's securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against Warning Management in In the Matter of Wade Cook Financial Corp., et al., Administrative Proceeding File No. 3-13461. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Wade Cook Financial Corp., et al., Administrative Proceeding File No. 3-13461, Exchange Act Release No. 59868 (May 6, 2009). (Rel. 34-59968; File No. 3-13461)