OTC Markets Publishes List of November Compliance Downgrades and Caveat Emptor Designations
OTC Markets Publishes List of November Compliance Downgrades and Caveat Emptor Designations
Last week, OTC Markets Group published the lists of downgrades from its respective OTCQX® and OTCQB® markets and Caveat Emptor Designations for the month of November.
This list is part of OTC Markets’ new initiative to disseminate, on a recurring monthly basis, a list of downgrades from its respective OTCQX and OTCQB markets as well as a separate list of Caveat Emptor Designations that have occurred in the previous calendar month.
“This initiative is part of our ongoing efforts to strengthen our OTCQX and OTCQB markets and to make available key data and information that empowers investors to make informed decisions“, said Liz Heese, OTC Markets Group Executive Vice President of Issuer and Information Services. “Our Issuer Compliance team is a key component to helping ensure that companies on our premium markets are meeting the required eligibility and disclosure standards, and to implement safeguards that help market participants and regulators easily identify companies that may be subject to a public interest concern.”
Downgrades from OTCQX and OTCQB – November 2017
|
Company |
Symbol |
Original |
Downgraded |
Reason |
Removal Date |
|
Atlas Energy |
ATLS |
OTCQX |
OTCQB |
Market Cap Deficiency |
11/10/2017 |
|
Aytu BioScience, |
AYTUZ |
OTCQX U.S. |
Pink Current |
Bid Price Deficiency |
11/17/2017 |
|
Aytu BioScience, |
AYTUW |
OTCQX U.S. |
Pink Current |
Bid Price Deficiency |
11/17/2017 |
|
Alanco |
ALAN |
OTCQB |
Pink No Information |
Non-Compliance with |
11/7/2017 |
|
Blake Insomnia |
BKIT |
OTCQB |
Pink Current |
Non-Compliance with OTCQB |
11/17/2017 |
|
KonaRed Corp |
KRED |
OTCQB |
Pink Current |
Non-Compliance with OTCQB |
11/14/2017 |
|
Mag One |
MGPRF |
OTCQB |
Pink Current |
Non-Compliance with OTCQB |
11/2/2017 |
|
Sugarmade, Inc. |
SGMD |
OTCQB |
Pink No |
Filing Delinquency |
11/15/2017 |
|
Validian Corp. |
VLDI |
OTCQB |
Pink Current |
Bid Price Deficiency |
11/28/2017 |
|
Vilacto Bio Inc. |
VIBI |
OTCQB |
Pink Current |
Public Interest Concern |
11/28/2017 |
|
Wearable |
WHSI |
OTCQB |
Pink No Information |
Filing Delinquency |
11/15/2017 |
|
XINDA |
XNDA |
OTCQB |
Pink Current |
Non-Compliance with OTCQB |
11/17/2017 |
|
YUS |
YUSG |
OTCQB |
Pink Current |
Non-Compliance with OTCQB |
11/28/2017 |
Caveat Emptor Changes – November 2017
|
Company |
Symbol |
Caveat Emptor |
Market Tier |
Date |
|
AgTech Global International, Inc. |
AGGL |
removed |
Pink Limited |
11/6/2017 |
|
Central Wireless, Inc. |
CWIR |
added |
Pink Current |
11/6/2017 |
|
China Finance, Inc. |
CHFI |
added |
Pink No Information |
11/15/2017 |
|
Coeur D’Alenes Company (The) |
CDLA |
added |
Pink No Information |
11/13/2017 |
|
DirectView Holdings, Inc. |
DIRV |
added |
Pink No Information |
11/15/2017 |
|
Dong Fang Hui Le Inc. |
DFHL |
added |
Pink No Information |
11/17/2017 |
|
Everlert, Inc. |
EVLI |
added |
Pink Current |
11/6/2017 |
|
Favored, Inc. |
FVRD |
added |
Pink Current |
11/27/2017 |
|
Firefish, Inc. |
FRFS |
added |
Pink No Information |
11/3/2017 |
|
Longport, Inc. |
LPTI |
added |
Pink No Information |
11/14/2017 |
|
Nocera Inc. |
NCRA |
added |
Pink No Information |
11/13/2017 |
|
Pacific Vegas Global Strategies, Inc. |
PVEG |
added |
Pink Current |
11/17/2017 |
|
Rainmaker Worldwide Inc. |
RAKR |
removed |
Pink Current |
11/22/2017 |
|
Sharing Services, Inc. |
SHRV |
added |
Pink Current |
11/16/2017 |
|
Solos Endoscopy, Inc. |
SNDY |
removed |
Pink Current |
11/20/2017 |
|
Start Scientific, Inc. |
STSC |
added |
Pink No Information |
11/30/2017 |
|
U.S. Lithium Corp. |
LITH |
removed |
Pink Current |
11/24/2017 |
|
Vicapsys Life Sciences, Inc. |
VICP |
added |
Pink No Information |
11/13/2017 |
|
Vidaroo Corp |
VIDA |
added |
Pink No Information |
11/8/2017 |
|
Vilacto Bio Inc. |
VIBI |
added |
Pink Current |
11/28/2017 |
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