Small Cap Analytics News Today

FINRA Regulatory Notice 21-03 – Fraud Prevention – Low Priced Securities             On February 10 th, FINRA published Regulatory Notice 21-03 which focuses on fraud prevention for low-priced exchange-listed and OTC securities.  The communication urges firms to review their policies and procedures relating to red flags of potential securities fraud involving low-priced securities.  At the detailed data level, the notice references many of the concepts and data point...