There are no minimum quantitative standards, which must be met by an issuer for its securities to be quoted on the Pink Sheets.Pink Sheet Stock Issuers do not have to be reporting companies with the US Securities and Exchange Commission (SEC). Pink Sheet Stock Issuers do not have any ongoing filing or reporting
requirements with the SEC or the NASD for quotation in the Pink Sheets. Investors must contact a broker/dealer to trade Pink Sheet Stock securities. Investors do not have direct access to the Pink Sheet
Stock service. The SEC's Order-Handling Rules which apply to Nasdaq-listed securities do not apply to Pink Sheets securities. General Rules and Regulations under the Securities Exchange Act of 1934About Your Broker Information about the NASD RegulationSM Public Disclosure Program.How To Avoid Problems
Information on ways to prevent potential problems and steps to take to resolve a dispute with a broker, securities firm, investment advisor, or other securities professional.Invest Wisely
Information on selecting a broker, understanding a new account agreement, several factors to consider before making an investment decision, red flags to watch out for, and where to turn if you encounter a problem.SEC Rule 15g-9 This rule established several sales practice requirements for broker/dealers transacting in "penny stocks".What Every Investor Should Know
General information provided by the SEC Office of Public Affairs, Policy Evaluation and Research. |
