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Deficiency Letter

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Deficiency letter
Notification from the SEC to a prospective issuer of securities that revisions or additions need to be made to the preliminary prospectus.
deficiency letter
A letter from the SEC indicating disapproval with one or more aspects of a security issuer's registration statement.
Deficiency Letter
A letter from the SEC stating that there is a problem with a particular filing, especially a prospectus. A deficiency letter is submitted to the filer if the SEC determines that there is a major omission or error in the filing. The company making the filing is expected to deal with the deficiency immediately and make an amended filing. Generally speaking, the submission of a deficiency letter delays a new issue and may be accompanied by a stop order, forbidding a new issue until the matter is resolved.


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The examination has several possible outcomes: OCIE will notify the adviser that it found no violations, it will send the adviser a deficiency letter outlining violations and requesting corrective action or refer the adviser to the SEC Division of Enforcement for further investigation.
When the SEC knocks ... What every investment adviser should know by Carroll, Brian / Journal of Accountancy
The Bank previously announced that it received a Nasdaq Staff Deficiency Letter on January 23, 2007, indicating that the Company fails to comply with the Nasdaq audit committee requirements for continued listing set forth in the Nasdaq Marketplace Rule 4350(d)(2)(A), which requires each listed company to have a minimum of three members on its audit committee.
Independence Federal Announces Receipt of OTS Approval for New ... by Business Wire
On February 16, 2007, HandHeld Entertainment[TM] (NASDAQ:ZVUE)(NASDAQ:ZVUEW) announced that it received a staff deficiency letter from The NASDAQ Stock Market on February 12, 2007 with regard to compliance with NASDAQ Rule 4310(c)(17).
CORRECTED: HandHeld Entertainment Revises Statement: Clarifies That ... by Business Wire
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