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                  • Remove SEA Rule 15c2-11 filter SEA Rule 15c2-11
                  • Remove Trading filter Trading
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                  • October 30, 2019

                    Federal Register: SEC Proposes Amending Rule Governing Quotations in OTC Securities

                    An SEC proposal to tighten the requirements that broker-dealers must meet before being permitted to post public quotations on OTC securities was published in the Federal Register.
                  • August 14, 2019

                    Broker-Dealer Settles SEC Charges for Publishing OTC Quotes without Conducting Adequate Reviews

                    A broker-dealer settled SEC charges for SEC charges for publishing quotes in OTC securities without conducting adequate reviews.
                  • May 16, 2019

                    SEC OCIE Director Urges Firms to Establish and Maintain Strong Compliance Programs

                    SEC Office of Compliance Inspections and Examinations Director Peter Driscoll urged firms to establish and maintain strong compliance programs that address AML, microcap securities, paying agents and cybersecurity.
                    Christian.Larson@cwt.com's picture
                    Commentary by Christian Larson
                  • April 12, 2019

                    Broker-Dealer Settles FINRA Charges for Violating "Payments for Market Making" Rule

                    A broker-dealer agreed to settle FINRA charges for charging a customer in violation of FINRA's "Payments for Market Making" rule.
                    Steven.Lofchie@cwt.com's picture
                    Commentary by Steven Lofchie
                  • October 04, 2017

                    FINRA Releases September 2017 Monthly Recap Podcast

                    FINRA released a podcast summary of FINRA news, notices and compliance resources from September 2017.
                  • August 24, 2017

                    FINRA Adopts New Electronic Filing Form for Compliance with FINRA Rule on Quotations

                    On September 11, 2017, FINRA will begin transitioning from paper form 211 to electronic form 211.
                  • March 04, 2015

                    SEC Holds Meeting of the Advisory Committee on Small and Emerging Companies

                    The SEC held a meeting of its Advisory Committee on Small and Emerging Companies (the "Committee"). Regulators discussed ways to increase opportunities for investors in small and emerging companies to resell their shares (a process known as "secondary market liquidity"). The Committee also...
                  • July 02, 2014

                    FINRA Requests Comment on Proposal to Establish Publicly Accessible Online Repository of Form 211 Information (FINRA Reg. Notice 14-29)

                    FINRA announced that it is soliciting comments on a proposal to make a repository of Form 211 filings publicly available through FINRA's website. Firms are required to complete FINRA's Form 211 to demonstrate compliance with the specific information review requirements under Exchange Act Rule 15c2-...
                  • June 27, 2014

                    FINRA Issues Notice Regarding Payments for Market Making (FINRA Reg. Notice 14-26) (with Lofchie Comment)

                    FINRA issued a regulatory notice to alert firms and associated persons of FINRA Rule 5250 ("Payments for Market Making"), which prohibits accepting payments for market making. Also, FINRA announced a new requirement under Rule 6432 ("Compliance with the Information Requirements of SEA Rule 15c2-11...
                  • March 14, 2014

                    FINRA Rule Change to Require Firms Making Markets to Attest They Do Not Receive Compensation From the Issuer (with Lofchie Comment)

                    FINRA filed with the SEC an immediately effective rule that amends FINRA Rule 6432 ("Compliance with the Information Requirements of SEA Rule 15c2-11") to require members to certify that they have not accepted and will not accept any payment or other consideration for market-making from issuers and...
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