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Help & Assistance

What is the Australian OTC Bulletin Board? Is it suitable for me. The Australian OTC Bulletin Board is a broadcaster and publisher (similar to Exchanges) of delayed reported securities trades, announcements and business results of companies dealings in the $500K to $50 mil NTA or Revenue,  1. trades reports on T+10 days  2. Announcements monthly,  3. Business results monthly The Market also provides back-office services for securities issue, printing, settlement & clearances, compliance supervisory services, and Board of Director consultancy. Tutorial and Seminars where requested.  How do I subscribe to this Market? There are basically 3 types of Subscribers, namely,  1. General,  2. Investors,  3. Consultants To subscribe there is one-form-for-all, which is available at OTC SUBSCRIBER What is an OTC Market? I don't understand what to do. The letters OTC stand for Over-the Counter, which is a globally recognised market definition for Companies issuing non Stock Exchange un-quoted restricted securities to qualified Investors of (negotiable placements) debt or equity securities (instruments) on a deemed one-to-one basis with direct contact between Buyer and Seller. The Bulletin Board is the accepted method for both Buyers, Sellers and Issuers to conduct legal sales or transfers without a Prospectus. Buyers, Seller and Issuers may use the market by simply registering their interest. For more information, see Library There is ONLY one Australian OTC Bulletin Board in Australia. Securities Sales/Transfer Problems Can I sell my shares. Yes, if you are an Issuer with an Offer & Disclosure document. Yes, if you are a Seller with a Offer & Disclosure Document from the Issuer. Complete the Prescribed OTC Forms. Register your share quantity, price etc... Show Proof of your certificate, name, etc... Trading Problems How often can I sell my shares If you are a Seller, you may be able to conduct 20 or more trades. If you are an Issuer you may be able to issue over 70 trades depending on your level of disclosure. e-Mail Problems I can't contact the Market. The market has 4 e-Mail addresses. Spam is a big problem You should send a Fax and Telephone also. E-Mails are cleared every 2 to 3 days. The market operates on certifiable communications which means signed letters, applications, forms and documents. Offer Documents are not available by e-mail. Browser Problems The page looks funny. Check  you are using Microsoft Browser, must be latest versions. (Netscape and other Browsers do not support some market functions). Set Screen Display to 1024 x 768 pixels (change the screen in the Control Panel on your computer) Some Browsers do not support the market data or page content. Check your page preferences. Give the browser time to load, 15 to 60 seconds. Web traffic and congestion can slow data transfer. Report unusual problems by fax on (613) 9629 2233. Listing Problems I can't find the company listing. Check  you have the right Market Name or Market Code. Are you on the right Board, there are 40? Are you in the right Market, there are 10? Is the company listed in this Market? Has the company been delisted? Company may be listed in an Exchange. Pages Problems The page does not load fully. Check you are using the latest Browser from Netscape (preference) or Microsoft. Did you give the page time to load. Hit the Refresh or Reload Button. Check that the Company has a full listing with Report page and Profile page. Some companies do not have a current Profile or current Report pages. Is the company actively raising capital or is it dormant. Reports Problems I cannot find a Report, or Report is out of date. Some companies are dormant and not reporting. Report is being prepared. Report was withdrawn. Ask, write, fax  for a Report. Profiles Problems I cannot see the Profile Announcement. Use latest Adobe Acrobat Reader version. Give page time to load fully. Press Reload button. Re-configure your computer. Seek technical assistance from your Computer Administrator. Server Problems Sometimes I cannot get the Market. Periodically the server may be updated, thus out of service, ie Midnight Saturday to Midnight Sunday, try again. Traffic volume can be extra heavy in peak times, try again. Server down due to virus, try again. No result for 48 hours, call Bulletin Board on (613) 9654 7460 EST Australia. Foreign Contact Problems I am having trouble with the Contact Office. SME Market Makers regulate Contact Offices, call the Bulletin Board for direct contact. Contact another Portfolio Manager. Securities Problems I didn't get my shares. Only Companies issue securities. Contact the Issuer. Contact your Portfolio Manager. Contact the Bulletin Board. Contact the Regulatory Authority in your country Legal Problems The Company has breached the Rules/Law. Send documentary proof to the Bulletin Board. State which section/part of the Rules/Law the breach relates. Report to the Regulatory Authority.

Code Problems I don't understand the Market Code. Do you know the Company's code. The code is divide into 3 parts, ie G-109-DSB. i) Board locator is the Board prefix A,B,C... ....I,..L, M etc,  ii) numerical locator 110, 126, 104 etc, iii) the company alpha locator suffix ie. UVM, BTX, (company identifier) most people look for the company alpha code such as BHP, WMC, CUB, FOX, CNN and so forth. Has the company moved to another Board due to change of core business? Has company been reassigned a new name? Check the Locator Index. Contact Problems How do I contact the Company Send the Bulletin Board an Request. Send in a Buy-Sell Reservation Form. Call a Portfolio Manager. Send Email. Send Letter to 12 Markewt St, Melbourne, 3000 Send Fax on (613) 9629 2233 Make Telephone call on (613) 9629 2288 Company won't Reply. Call a Stock Broker. Call a Financial Adviser. Money Problems I didn't get my shares. Are you an Exempt Investor. Yes/No No, See a Solicitor Yes, lodge a Complaint to the Bulletin Board. I want a Refund. Are you an Exempt Investor. Yes/No No,  See a Solicitor. Yes, you probably are not entitled to any refund, see a solicitor and submit the details to the Bulletin Board. Symbol Problems I don't understand the Market Symbols Read the Explanatory Notes on symbols Call a Portfolio Manager Adviser/Portfolio Manager Problems I had some guy try to cold sell me shares. Portfolio Managers are prohibited to cold sell, or use tactics to entice consumers, handle money, or securities, unless licensed. Ask for a Current Reference of Accredited Portfolio Managers. Hang up and make a complaint. Suspected Fraudulent scams or schemes If you have sound valid cause to suspect this type of problem, then; Get copies of papers. Copies of transactions. Proof of payments. Any other documentary proofs. Report to local Securities Authorities, Police, contact Lawyer. send ONLY the copies to the Bulletin Board Review Committee for assessment. Other Questions Is the Australian OTC Bulletin Board part of the American OTC system. NO. The USA OTCBB is not linked, connected or associated in anyway with the Australian market or system. The Australian OTC Bulletin Board is a pure SME market for unquoted restricted securities offerings. The USA market is a fully quoted market operated by the North American Dealers association. OTC is a recognised method for SME to trade securities and a Bulletin Board is an early description used chalk board type trades which was common before the advent of electronic markets. Supervisory  Problems I want to write to the Responsible Officer for Market supervision. The Responsible Entity for regulatory supervision is Mr Stephen C. Burrows, who is Justice of the Peace and  holds a Fellowship with the Australian Banking & Finance Institute and reports to the ASIC. You can write to; the Responsible Entity of the Australian Unlisted Capital Market, 12 Market Street, Melbourne, Australia, 3000. The responsible Entity under market rules may authorise issuance of Infringement Notices to listed companies, operators, consultants, recommend, terminate, cancel actions, trades or order penalties and or establish a Market Tribunal to hear matters of Complaints and or report serious legislative breaches to the relevant Regulatory Authority, Police, Court or other government agencies and give evidence as required. Scams, Rorts and Cons Someone is claiming to be a Bulletin Board or Capital Market, what should I do. There are many Finance Brokers acting as Introductory Agents. Contact the Australian Unlisted Capital Market if anyone is misleading, or breaching copy write, plagiarizing, misrepresenting the market. There is only one Australian OTC Bulletin Board and it is not franchised. The name is protected.