Hmmm rule 15c2-11a5, sounds like ice wanted the answers to his on-going question answered. This is the rule. Not that bad, people wanted these answered anyways.
The following information, which shall be reasonably current in relation to the day the quotation is submitted and which the broker or dealer shall make reasonably available upon request to any person expressing an interest in a proposed transaction in the security with such broker or dealer:
the exact name of the issuer and its predecessor (if any);
the address of its principal executive offices;
the state of incorporation, if it is a corporation;
the exact title and class of the security;
the par or stated value of the security;
the number of shares or total amount of the securities outstanding as of the end of the issuer's most recent fiscal year;
the name and address of the transfer agent;
the nature of the issuer's business;
the nature of products or services offered;
the nature and extent of the issuer's facilities;
the name of the chief executive officer and members of the board of directors;
the issuer's most recent balance sheet and profit and loss and retained earnings statements;
similar financial information for such part of the 2 preceding fiscal years as the issuer or its predecessor has been in existence;
whether the broker or dealer or any associated person is affiliated, directly or indirectly with the issuer;
whether the quotation is being published or submitted on behalf of any other broker or dealer, and, if so, the name of such broker or dealer; and
whether the quotation is being submitted or published directly or indirectly on behalf of the issuer, or any director, officer or any person, directly or indirectly the beneficial owner of more than 10 percent of the outstanding units or shares of any equity security of the issuer, and, if so, the name of such person, and the basis for any exemption under the federal securities laws for any sales of such securities on behalf of such person.
If such information is made available to others upon request pursuant to this paragraph, such delivery, unless otherwise represented, shall not constitute a representation by such broker or dealer that such information is accurate, but shall constitute a representation by such broker or dealer that the information is reasonably current in relation to the day the quotation is submitted, that the broker or dealer has a reasonable basis under the circumstances for believing the information is accurate in all material respects, and that the information was obtained from sources which the broker or dealer has a reasonable basis for believing are reliable. This paragraph (a)(5) shall not apply to any security of an issuer included in paragraph (a)(3) of this Section unless a report or statement of such issuer described in paragraph (a)(3) of this Section is not reasonably available to the broker or dealer. A report or statement of an issuer described in paragraph (a)(3) of this Section shall be "reasonably available" when such report or statement is filed with the Commission.
AI
