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Friday, July 23, 2021 12:57:58 PM
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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