The Securities and Exchange Commission (SEC) has amended Rule 15c2-11 (the amended Rule), which governs the publication of quotations in the over-the-counter (OTC) markets, i.e., quotes that are ...
No-action letter clarifies the application of SEC Rule 15c2-11 to fixed-income securities On November 22, 2024, the Securities and Exchange Commission's ("SEC") Division of Trading and Markets issued ...
The Financial Industry Regulatory Authority has scrapped a deal to sell its OTC Bulletin Board trademark and other assets to Rodman & Renshaw Capital Group. As a result, FINRA will continue to operate ...
Editorial The contract for NASD's Alternative Display Facility includes license, project and support of the system, which is scheduled for completion late in the second quarter of 2002. Financial ...
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