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Renee

05/14/21 5:39 PM

#26963 RE: JP313 #26962

Once RULE 15c2-11 becomes effective in Sept. 2021 all OTC stocks that lose compliance to the Rule (ie., inadequate and incomplete disclosures) will lose market maker representation, ie., no quotations.

Brokers can elect to place stocks that are not currently compliant with Rule 15c2-11 on liquidating trades only....no buy orders accepted.