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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.
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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. 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. 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). |
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