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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. If you are interested in participating on a call on this topic with other FIF members, please send a note to fifinfo@fif.com.

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