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SEC Rule 15c2-11Restricted Securities

SEC Rule 15c2-11 Restricted Securities On September 28, 2021, new amendments to Rule 15c-211 under the Securities Exchange Act of 1934. went into effect to enhance investor protection and improve issuer transparency. These amendments restrict the ability of market makers to publish quotations for those companies that have not made required current financial and company information available to regulators and investors. Ahead of the regulatory enforcement date, TD Ameritrade will only accept orders to liquidate positions - ( no new buy orders) starting on or after September 3, 2021.

Sep 28, 2021 · AKRTF R0138P118 Aker Solutions Holding ASA AKSY 010196103 Aksys, Ltd. AKVA 040732109 Arkanova Energy Corp. ALAN 011612702 Alanco Technologies, Inc. ALAXL 020279105 Almacenes Exito S.A. ALCCF Q0182A109 Alicanto Minerals Ltd. ALCN G06055100 Atlantic Central Enterprise Ltd. ALGBF W0470R221 Alligator Bioscience AB

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