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Microcap & Penny Stocks : Rocky Mountain Int'l (OTC:RMIL former OTC:OVIS)
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To: TLWatson59 who wrote (36338)1/13/1998 3:46:00 PM
From: Ellen  Read Replies (2) of 55532
 
met the REGULATORY AGENCIES' requirements and that CURRENT AUDITED FINANCIALS (specifcally a 10K for the latest reporting period) have been filed AND ACCEPTED by the regulatory agencies

TL, can you show me in the rules where it says the financials must be audited? All I can recall seeing is that there must be current financials - don't remember seeing that they must be audited. Is it true that the NASD says the filings must be from sometime within the past 18 months?

Many thanks.

Edited: I just called and spoke with Lori. She said that per the NASD compliance dept. the filing must be one from within the past 18 months.
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