>>>>>>Subj: Needed for RMIL to begin trading
Date: 98-01-06 13:57:29 EST
From: XXXXXXXXXX
To: PugsTKO@AOL.COM
Please see:
law.uc.edu
According to this SEC Rule under paragraph a) item 3
RMIL needs to provide the most recent annual report
along with current quarterly reports.
Also note under item 5 xii, RMIL must submit to any
market maker the most recent balance sheet and profit
and loss statement.
ALSO NOTE:
d.
1.For any security of an issuer included in paragraph (a)(5) of this Section, the
broker or dealer submitting the quotation shall furnish to the interdealer
quotation system (as defined in paragraph (e)(2) of this Section), in such form
as such system shall prescribe, at least 3 business days before the quotation is
published or submitted, the information regarding the security and the issuer
which such broker or dealer is required to maintain pursuant to said paragraph
(a)(5) of this Section.
2.For any security of an issuer included in paragraph (a)(3) of this Section,
i.a broker-dealer shall be in compliance with the requirement to obtain
current reports filed by the issuer if the broker-dealer obtains all current
reports filed with the Commission by the issuer as of a date up to five
business days in advance of the earlier of the date of submission of the
quotation to the quotation medium and the date of submission of the
paragraph (a) information pursuant to Schedule H of the By-Laws of the
National Association of Securities Dealers, Inc.; and
ii.a broker-dealer shall be in compliance with the requirement to obtain
the annual, quarterly, and current reports filed by the issuer, if the
broker-dealer has made arrangements to receive all such reports when
filed by the issuer and it has regularly received reports from the issuer on
a timely basis, unless the broker-dealer has a reasonable basis under the
circumstances for believing that the issuer has failed to file a required
report or has filed a report but has not sent it to the broker-dealer.__________________________________________
Pugs
yeah Ron, Me & Riley are hypsters, we're scamming here, you caught us!! Thank God the world has you Ron!!
Why didn't you know the MM's MUST cover, regardless of whether the shorter can't/doesn't? More great DD? Why didn't you know Mork was illegible to file for bankruptcy again? More great DD? <lol>
Pugs |
