It is important to note that the Pink Sheets is not governed by a regulatory authority. It is not a stock exchange or a regulated entity. The NASD Regulation Inc. (NASDR) and the U.S. Securities and Exchange Commission (SEC) regulate all Market Makers in Pink Sheets and Yellow Sheets securities. The NASDR's responsibilities include establishing rules governing the business conduct of its broker/dealer members; setting qualification standards for securities industry professionals; examining members for their financial and operational condition, as well as their compliance with appropriate rules and regulations; investigating alleged violations of securities laws; disciplining violators of applicable rules and regulations; and responding to inquiries and complaints from investors and members.
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