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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