Law Blog Category: Rule 10b-17

SEC Supports FINRA’s Rule 6490 Authority Over Corporate Actions

March 10, 2015 in FINRA, FINRA Compliance, Reverse Split, Rule 10b-17, Rule 6490, Uncategorized

The ECOS Matter; When Is A Reverse Split Effective?

September 30, 2014 in FINRA, FINRA Compliance, OTC Market, Reverse Split, Rule 10b-17, Small Cap Market, Uncategorized