New Case Study: Resuming Trading Following a Trading Suspension Coral Capital Advisors has published a new Case Study: Case Study # 10: Case Study #10: Resuming Trading on the OTC Following a Trading Halt In this Case Study we take…
Category: Trading Halt
Initial Statement on Proposed Changes to Rule 15c2-11
Coral’s Initial Statement on Proposed Changes to Rule 15c2-11 A couple of weeks ago, we published an article announcing the Securities and Exchange Commission (SEC) had officially published proposed changes changes to Rule 15c2-11. Officially tiled “Publication or Submission of…
The SEC’s Proposed Changes to Rule 15c2-11
The SEC’s Proposed Changes to Rule 15c2-11 The Securities and Exchange Commission (SEC) published on September 25th its proposed changes to Rule 15c2-11. Officially tiled “Publication or Submission of Quotation Without Specified Information.” A version of the proposed changes to…
Resolving a NASDAQ Trading Halt Due to a Lack of DTC Eligibility
Resolving a NASDAQ Trading Halt Due to a Lack of DTC Eligibility It is a common misperception that if a company applies for an exchange listing that it is automatically DTC Eligible upon approval for trading the exchange. This is…