NYSE MKT Noncompliant Issuers

NYSE Regulation publishes a list of issuers that are noncompliant with NYSE MKT quantitative/qualitative continued listing standards (collectively “.BC”) or that are delayed in filing an annual or interim report required pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (a late filer or “.LF”).  An issuer/issue is added to the list five business days after NYSE Regulation notifies the issuer of the deficiency/delinquency and is removed from the list one business day after the issue is resolved or the issuer is determined to be in compliance with continued listing standards.

Two indicators are disseminated to identify an issuer's noncompliance with the continued listing standards.  A .BC indicator is used for an issuer that is below compliance with the continued listing standards and a .LF indicator is used for an issuer that has failed to make a timely filing with the Securities and Exchange Commission. 

The continued listing standards are set forth in the NYSE MKT Company Guide.

Issuer Name/SymbolIndicatorDeficiencyNotification Date
American Spectrum Realty Inc.
.LFFailure to timely file 10-K for year ending December 31, 201304/15/2014
.LFFailure to timely file 10-Q for period ending March 31, 201405/19/2014
Aoxing Pharmaceutical Company, Inc.
.BC1003(a)(iii) – Equity below $6 million and years of losses 10/25/2013
.BC1003(a)(iv) – Financial impairment 10/25/2013
.BC1003(a)(ii) – Equity below $4 million and years of losses 11/25/2013
.BC1003(a)(i) – Equity below $2 million and years of losses 02/28/2014
Bacterin International Holdings, Inc.
.BC1003(a)(iii) – Equity below $6 million and years of losses 05/13/2013
.BC1003(a)(ii) – Equity below $4 million and years of losses 05/13/2013
.BC1003(a)(i) – Equity below $2 million and years of losses 11/19/2013
CorMedix, Inc.
.BC1003(a)(i) – Equity below $2 million and years of losses 05/19/2014
.BC1003(a)(ii) – Equity below $4 million and years of losses 05/19/2014
Dejour Energy Inc.
.BC1003(a)(iv) – Financial impairment 11/21/2013
Elephant Talk Communications Corp.
.BC1003(a)(iv) – Financial impairment 05/17/2013
General Employment Enterprises, Inc.
.BC1003(a)(iv) – Financial impairment 06/06/2013
.BC1003(a)(ii) – Equity below $4 million and years of losses 06/06/2013
InnSuites Hospitality Trust
.BC1003(a)(ii) – Equity below $4 million and years of losses 01/08/2013
.BC1003(a)(iii) – Equity below $6 million and years of losses 05/02/2013
Iteris, Inc.
.LFFailure to timely file 10-K for year ending March 31, 201407/17/2014
Lucas Energy, Inc.
.BC1003(a)(iv) – Financial impairment 02/28/2014
Timberline Resources Corporation
.BC1003(a)(iv) – Financial impairment 02/06/2014
.BC1003(f)(iv) – Low selling price 05/19/2014
ZBB Energy Corporation
.BC1003(a)(ii) – Equity below $4 million and years of losses 10/14/2013
.BC1003(a)(iv) – Financial impairment 10/14/2013
.BC1003(a)(iii) – Equity below $6 million and years of losses 10/14/2013