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SEC Proposes Amendments to Enhance Retail Investor Protections



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Actions Increase Availability of Issuer Information
and Modernize the Rule Governing Quotations
for Over-the-Counter Securities

FOR IMMEDIATE RELEASE
2019-189

Washington D.C., Sept. 26, 2019 —

The Securities and Exchange Commission
today announced that it has voted
to propose amendments to
Exchange Act Rule 15c2-11

The proposed amendments
would provide greater transparency
to the investing public by
requiring that information
about the issuer and the security
be current and publicly available
before a broker-dealer
can begin quoting that security.

https://www.sec.gov/news/press-release/2019-189

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