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  • oteensdad oteensdad Mar 27, 2010 12:29 PM Flag

    Any news about MM non-compliance?

    We already have a reference to the fact that this is not a technical glitch, but a measure taken for MM non-compliance. I am pasting the contents of the post I have linked to in my original post:


    yesterday I e-mailed FINRA at address below about what the cause was and received a response. I have another e-mail in asking who the MM was and what it is they are not complying with..Not sure they will respond but if they do I will certainly post here..

    My question:
    I noticed ACTC was removed from the OTC:BB along with many many others today, is this a glitch or a failure to comply problem? Can you please tell me why ACTC was removed?

    FINRA Response:
    "This was an issue in which one particular market maker failed to comply with rule 15c 211. The market move of these securities
    to the non OTC is valid."


    I may be wrong, but moving it out of the OTC sounds like delisting to me. I hope I am wrong!

    Any opinions?

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