OTC Markets Group Announces Lists of Compliance Downgrades and Caveat Emptor Designations for the Month of November
NEW YORK, Dec. 6, 2018 /PRNewswire/ -- OTC Markets Group Inc. (OTCQX: OTCM), operator of financial markets for 10,000 U.S. and global securities, today announced the lists of downgrades from its respective OTCQX® and OTCQB® markets and Caveat Emptor Designations for the month of November.
Downgrades from OTCQX and OTCQB – November 2018
Company | Symbol | Original Market | Downgraded Market | Reason | Removal Date |
Egalet Corporation | EGLTQ | OTCQX U.S. | Pink Curent | Bankruptcy | 11/1/2018 |
Gastar Exploration Inc. | GSTCQ, GSPBQ, GSPAQ | OTCQB | Pink Curent | Bankruptcy | 11/2/2018 |
Guided Therapeutics, Inc. | GTHP | OTCQB | Pink Curent | Bid Price Deficiency | 11/7/2018 |
Vitality Biopharma, Inc. | VBIO | OTCQB | Pink Curent | SEC Suspension | 11/7/2018 |
Petroquest Energy, Inc. | PQUEQ | OTCQX U.S. | Pink Curent | Bankruptcy | 11/8/2018 |
Natcore Technology Inc. | NTCXF | OTCQB | Pink Curent | FINRA Trading Halt | 11/12/2018 |
Integrated Ventures, Inc. | INTV | OTCQB | Pink No Information | Filing Delinquency | 11/14/2018 |
Provision Holding, Inc. | PVHO | OTCQB | Pink No Information | Filing Delinquency | 11/14/2018 |
Taxus Pharmaceuticals Holdings Inc. | TXSP | OTCQB | Pink No Information | Filing Delinquency | 11/14/2018 |
Red Eagle Mining Corp. | RDEMF | OTCQX International | Pink Curent | FINRA Trading Halt | 11/16/2018 |
Sunniva Inc. | SNNVF | OTCQX International | OTCQB | Not Penny Stock Exempt | 11/16/2018 |
Her Imports | HHER | OTCQB | Pink Curent | Filed to Cease Reporting | 11/17/2018 |
Avalon Advanced Materials Inc. | AVLNF | OTCQX International | OTCQB | Bid Price Deficiency | 11/21/2018 |
Cardiff Lexington Corporation | CDIX | OTCQB | Pink Curent | Bid Price Deficiency | 11/21/2018 |
Desert Lion Energy Inc. | DSLEF | OTCQB | Pink Curent | Bid Price Deficiency | 11/27/2018 |
ORHUB, Inc. | ORHB | OTCQB | Pink Curent | Filing Delinquency | 11/28/2018 |
OriginClear, Inc. | OCLN | OTCQB | Pink Curent | Bid Price Deficiency | 11/28/2018 |
Sugarmade, Inc. | SGMD | OTCQB | Pink Curent | Filing Delinquency | 11/28/2018 |
Drone USA, Inc | DRUS | OTCQB | Pink Curent | Bid Price Deficiency | 11/30/2018 |
Caveat Emptor – November 2018
Company | Symbol | Caveat Emptor Status | Market Tier | Date |
Start Scientific, Inc. | STSC | removed | Pink Curent | 11/1/2018 |
Suntex Enterprises, Inc. | SNTX | added | Pink Limited | 11/2/2018 |
Vitality Biopharma, Inc. | VBIO | added | Grey Market | 11/7/2018 |
DNA Dynamics, Inc. | DNAD | added | Pink Limited | 11/26/2018 |
About OTC Markets Group Issuer Compliance
OTC Markets Group's Washington D.C.-based Issuer Compliance team is responsible for evaluating company compliance with OTCQX and OTCQB qualifications, monitoring stock promotion and other potential public interest concerns, and working to allow issuers to provide adequate current information to the market. Through data driven disclosure processes and market activity analysis, the Issuer Compliance team promotes transparency among the 10,000 U.S. and global securities that trade on the OTCQX® Best Market, the OTCQB® Venture Market, and the Pink® Open Market.
Issuer Compliance is actively engaged in continuous information sharing with FINRA, the SEC, other regulators, and the exchanges.
About OTC Markets Group Inc.
OTC Markets Group Inc. (OTCQX: OTCM) operates the OTCQX® Best Market, the OTCQB® Venture Market and the Pink® Open Market for 10,000 U.S. and global securities. Through OTC Link® ATS and OTC Link ECN, we connect a diverse network of broker-dealers that provide liquidity and execution services. We enable investors to easily trade through the broker of their choice and empower companies to improve the quality of information available for investors.
To learn more about how we create better informed and more efficient markets, visit www.otcmarkets.com.
OTC Link ATS and OTC Link ECN are SEC regulated ATSs, operated by OTC Link LLC, member FINRA/SIPC.
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Media Contact:
OTC Markets Group Inc., +1 (212) 896-4428, [email protected]
SOURCE OTC Markets Group Inc.
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