Securities Impacted By SEC Rule 15c2-11 Amendments

On September 28, 2021, new amendments to Rule 15c-211 under the Securities Exchange Act of 1934 go into effect to enhance investor protection and improve issuer transparency. These amendments restrict the ability of market makers to publish quotations for those companies that have not made required current financial and company information available to regulators and investors.

To view the list of securities anticipated to be impacted by these new amendments, click here.