Transcription of SEC Rule 15c2-11Restricted Securities
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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 · AGTT 035203108 Angstrom Technologies, Inc. AGUNF 039675103 Arctic Glacier Income Fund AGVDY 05349V308 Avangardco Investments Public Ltd., Co. AGVYY 05349V209 Avangardco Investments Public Ltd., Co. AHAG 020781100 Alpha Technologies Group, Inc. AHCD 039574108 Archival CD AHELF 02650G202 American Helium Inc.
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