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"SEC Amends Rule 15c2-11, Enhancing Retail Investor Protections and Modernizing the Standards Governing Quotations for OTC Securities," Jones Walker LLP Corporate Client Alert
Client Alert
October 8, 2020
On September 16, 2020, the Securities and Exchange Commission (SEC) amended Rule 15c2-11 promulgated under the Securities Exchange Act of 1934, as amended, which sets forth the requirements broker-dealers must comply with to initiate or resume quotations for securities traded in the over-the-counter (OTC) market. Continue reading >
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