A new publication from the SEC outlines the five most frequent compliance topics identified in deficiency letters sent to SEC-registered investment advisers. The Securities and Exchange Commission’s ...
Broker-dealers are receiving deficiency letters from Securities and Exchange Commission examiners asking them to “do more” to meet the requirements of Regulation Best Interest’s care obligation, ...
NEW YORK, NY, Nov. 05, 2024 (GLOBE NEWSWIRE) -- Antelope Enterprise Holdings Limited (AEHL) (“Antelope Enterprise”, “AEHL” or the “Company”), a provider of electricity through natural gas power ...
Cambium Networks (NASDAQ:CMBM) announced on Thursday the receipt of a staff determination letter from Nasdaq stating that the networking solutions provider's securities are now subject to delisting.
HONG KONG, Feb. 28, 2025 /PRNewswire/ -- QMMM Holdings Limited (Nasdaq: QMMM) (the "Company" or "QMMM Holdings"), a digital media advertising, virtual avatar & virtual apparel technology service ...
Skye Bioscience, Inc. (NASDAQ:SKYE) announced Thursday that it received a deficiency letter from the Nasdaq Listing Qualifications Department, notifying the company that its common stock has failed to ...
HONG KONG, Sept. 19, 2025 /PRNewswire/ -- SU Group Holdings Limited (Nasdaq: SUGP) ("SU Group" or the "Company"), an integrated security-related engineering services company in Hong Kong, today ...
XIAMEN, China, July 29, 2025 (GLOBE NEWSWIRE) -- EPWK HOLDINGS LTD. (the “Company”) (NasdaqGM: EPWK), a company that connects businesses with great talent through innovative and efficient ...
Cycurion, Inc., a cybersecurity and AI solutions provider based in McLean, Virginia, announced that it received a deficiency notification from Nasdaq on May 22, 2025, due to its failure to timely file ...
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