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Re: None

Wednesday, 07/14/2021 3:05:21 PM

Wednesday, July 14, 2021 3:05:21 PM

Post# of 10142
From TD Ameritrade regarding URBF

On September 28, 2021, new amendments adopted by the U.S. Securities Exchange Commission (SEC) 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, we will only accept orders to liquidate positions (i.e. no new buy orders) starting August 13, 2021. 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.

What this means for your account(s).

You are receiving this notification because you currently hold one or more of the impacted securities in your account. There is also a chance that the impacted companies could come into compliance with the regulatory requirements ahead of this date and be removed from the list.