Answer Provided Rule 15c2-11 (the amended Rule) Exceptions The amended Rule contains a series of exceptions that permit quoting without regard for the requirements of the amended Rule, other than compliance with the conditions of the exemption.
2. Unsolicited Customer Indication Exception. Permits quotes that represent a customer’s unsolicited indication of interest, subject to certain conditions, including that quotes containing both a priced bid and a priced offer must be identified as unsolicited customer interest and that quotes for company insiders and affiliates may not be published under this exception unless the issuer information is current and publicly available. A broker-dealer posting the quote may reasonably rely on a written representation received on the day of the quote and prior to submitting the quote that a person is not a company insider or affiliate. Alternatively, the broker-dealer may rely on a publicly available determination from a qualified interdealer quotation system or an exchange.
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