Modernizing the Rule Governing Quotations for Over-the-Counter Securities (Rule 15c2-11)

The SEC proposed amendments to modernize the rule that broker-dealers must comply with before quoting securities in the over-the-counter market– or OTC market, including changes to increase the availability of information about over-the-counter companies.

Related Information:

• Press Release: SEC Proposes Amendments to Enhance Retail Investor Protections
• Comments on Modernizing the Rule Governing Quotations for Over-the-Counter Securities (Rule 15c2-11)
• Submit Comments on S7-14-19