3 articles tagged with #rule-15c2-11. AI-curated summaries with sentiment analysis and key takeaways from 50+ sources.
The SEC has proposed narrowing Rule 15c2-11 to apply only to equity securities, potentially excluding digital assets from penny stock regulations. This technical change signals a shift toward more tailored crypto regulation rather than forcing digital assets into traditional securities frameworks.
The SEC has proposed narrowing Rule 15c2-11 to apply only to equity securities and is seeking public comment on whether the rule should extend to certain crypto assets. This regulatory development could impact how crypto assets are handled in over-the-counter broker-dealer operations.
The SEC has proposed amendments to Exchange Act Rule 15c2-11, which governs information gathering and review requirements for broker-dealers publishing quotations or maintaining quoted markets. These regulatory changes could impact how securities are quoted and traded in over-the-counter markets.
