SEC Proposes Amendments to Exchange Act Rule 15c2-11
Washington D.C., March 16, 2026 — The Securities and Exchange Commission today proposed amendments to Exchange Act Rule 15c2-11, which sets out certain information gathering and review requirements for broker-dealers that publish quotations for, or maintain a continuous quoted market in, securities in the over-the-counter (OTC) market. Since its adoption, Rule 15c2-11’s focus has been […]
SEC Proposes Amendments to Exchange Act Rule 15c2-11 Read More »