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…
Author: coralcapital
Erik Nelson is the co-founder and President of Coral Capital Partners, Inc. an Atlanta based consulting and advisory services firm. Coral Capital Partners was founded in 1995 and has been providing consulting services to both privately held and publicly traded companies since its inception. Mr. Nelson has served as an officer and director of numerous publicly traded companies in various capacities as part of the services provided by Coral Capital Partners to its clients. Mr. Nelson is a graduate of the University of Colorado.
New Case Study: Resolving a NASDAQ Trading Halt Due to Lack of DTC Eligibility
A case study looking at a trading halt due to a lack of DTC Eligibility, and the steps taken to correct the situation
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…