Tuesday, December 08, 2020 11:28:22 PM
For example, the amendments provide an exception to broker-dealers to quote actively traded and highly liquid securities of well-capitalized issuers, which are less likely to be the subject of the type of information limitations and risk of fraud or manipulation that the Rule is designed to prevent. Without undermining the Rule’s important investor protections, this exception maintains investor access to larger and more liquid securities, including those of certain foreign issuers. The amendments also provide several other exceptions and provisions that are designed to reduce burdens and facilitate capital formation, including for small businesses.
EXCEPTIONS.
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