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Posted On: 08/22/2022 1:19:02 PM
Post# of 6857
In order to be caught - it must be reported.
Dalton never re-registered with the SEC, so UNVC currently has the lowest level of disclosure obligations - and at this level of reporting the majority of submitted filings are effectively taken at face value and not even reviewed for accuracy... or honesty.
In addition, if you omit to submit a required filing - say a Form 4 or 8k - how would the SEC know one is required without reviewing online media posts and / or public statements / third party PR's etc?
The SEC are the main regulatory agency and generally have bigger fish to fry unless it is bought to their attention.
https://www.sec.gov/tcr
FINRA pretty much regulates the broker side of the market, so there is little point in submitting any complaints to them as any non-regulatory actions by UNVC are outside the scope of their domain.
https://www.finra.org/investors/need-help/file-a-complaint
You can also submit complaints to the OTCM, but bear in mind they are not a regulatory agency, and if the complaint is found to be viable it will be forwarded to the SEC or relevant State Agency.
issuers@otcmarkets.com
Dalton never re-registered with the SEC, so UNVC currently has the lowest level of disclosure obligations - and at this level of reporting the majority of submitted filings are effectively taken at face value and not even reviewed for accuracy... or honesty.
In addition, if you omit to submit a required filing - say a Form 4 or 8k - how would the SEC know one is required without reviewing online media posts and / or public statements / third party PR's etc?
The SEC are the main regulatory agency and generally have bigger fish to fry unless it is bought to their attention.
https://www.sec.gov/tcr
FINRA pretty much regulates the broker side of the market, so there is little point in submitting any complaints to them as any non-regulatory actions by UNVC are outside the scope of their domain.
https://www.finra.org/investors/need-help/file-a-complaint
You can also submit complaints to the OTCM, but bear in mind they are not a regulatory agency, and if the complaint is found to be viable it will be forwarded to the SEC or relevant State Agency.
issuers@otcmarkets.com
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