Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Friday, September 18, 2015

U3 Halt of SWK Holdings Explained by FINRA, and Lifted Quickly


While that may have seemed opaque to some, a quick look at recent SEC filings made by SWKH clarified what the regulator meant.  More than two hours before the bell, the company posted a Form 8-K to Edgar, in which it explained that “the previous...
https://www.securitieslawyer101.com/?p=31991

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