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Commentary: A Gap in Regulation of the OTC Markets

Traders Magazine Online News, January 26, 2010

Stephen J Nelson; The Nelson Law Firm, LLC

On Dec. 17, the SEC released a proposal by FINRA to clarify FINRA's authority to process corporate actions by issuers with securities traded in the over-the-counter markets. As rule changes go, this one is fairly obscure. It is therefore strange how many calls I have received from clients who are outraged about this proposal.

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