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Tuesday, 07/13/2021 12:05:19 PM

Tuesday, July 13, 2021 12:05:19 PM

Post# of 31561
SEC Rule 15c2-11 Restricted Securities!!

Viaspace and Viaspace Green Energy both on the list to become restricted for trading/buying! Here is the master list - do a search for Viaspace and Viaspace Green Energy!

https://www.tdameritrade.com/retail-en_us/resources/pdf/TDA101550.pdf



On September 28, 2021, new amendments to Rule 15c-211 under the Securities Exchange Act of 1934
go into effect to enhance investor protection and improve issuer transparency. These amendments
restrict the ability of market makers to publish quotations for those companies that have not made
required current financial and company information available to regulators and investors.
Ahead of the regulatory enforcement date, TD Ameritrade will only accept orders to liquidate positions -
(i.e. no new buy orders) starting in mid-August 2021. Please note: After the amendment officially goes
into effect on September 28, 2021, it may be more difficult to liquidate these securities. Quoting and
market liquidity may also be very limited.


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