Wednesday, September 30, 2020 7:26:20 PM
https://www.sec.gov/news/press-release/2020-212
“The amended rule represents another important step in our tireless and proactive efforts to protect retail investors from being victimized by microcap fraud”
The rule enhances disclosures and investor protection in the OTC:
“by ensuring that broker-dealers, in their role as professional gatekeepers to this market, do not publish quotations for an issuer’s security when current issuer information is not publicly available, subject to certain exceptions”.
The Final Rule in full:
https://www.sec.gov/rules/final/2020/33-10842.pdf
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