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ZAAG and the potential impact of Amendment to

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wallstreet1231   Friday, 07/23/21 12:57:58 PM
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ZAAG and the potential impact of Amendment to SEC Rule 15c2-11 that goes into effect 9/28/2021. Schwab notified me that ZAAG is a stock I own that could be impacted. Anyone else receive this notification? It appears Schwab will not support buy transactions, only sells to those in violation of the above rule. It also sounds like market makers will not be able to list a bid/ask price. At least this is the way I interpret it. Has ZAAG discussed becoming current, getting off the STOP sign etc?



Learn how amendments to SEC Rule 15c2-11 impact your account(s)

On September 28, 2021, new amendments adopted by the Securities and 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.

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