SEC Rule 15c2-11 Amendments (Rule Governing Quotations for OTC Securities)

The upcoming amendments to SEC Rule 15c2-11 provide an exception from the issuer information requirements that allows for the display of an unsolicited customer order where the customer is not an insider or affiliate of the issuer. FIF members that are retail brokers have identified challenges in complying with this exception. FIF has scheduled a call on this topic for today (September 20) at 1pm ET. If you are interested in participating on this call, please send a note to This email address is being protected from spambots. You need JavaScript enabled to view it..