Regulatory Alerts2026-03-16
SEC Proposes Amendments to Exchange Act Rule 15c2-11
The Securities and Exchange Commission has proposed amendments to Exchange Act Rule 15c2-11 that restrict the regulation’s scope exclusively to equity securities. These changes clarify information gathering and review obligations for broker-dealers publishing quotations or maintaining continuous quoted markets in the over-the-counter sector. The proposal aims to prevent manipulative and fraudulent trading schemes while tailoring regulatory requirements to the specific asset class, with a 60-day public comment period following Federal Register publication.
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