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was pennytrader

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was pennytrader

Re: drifterfcrc post# 6073

Friday, 08/25/2006 11:38:55 AM

Friday, August 25, 2006 11:38:55 AM

Post# of 87489
Sorry drifter, but I believe you are mistaken...


Unsolicited Quote
An unsolicited quote is one which represents an "Unsolicited Customer Order". Publishing unsolicited quotes allows a broker/dealer to meet an exception to Rule 15c2-11, which requires a broker to have in its possession current information, including financial information, about the issuer of the securities . To avail itself of this exception to SEC Rule 15c2-11, an NASD member firm must ensure that the quotation published or submitted: (1) is solely on behalf of a customer; (2) represents the customer's indication of interest; and (3) does not involve the solicitation of the customer's interest.

My statements are my opinion, Do not buy or sell based on what I say.

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