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. Please note: Now that the amendment has officially gone into effect as of September 28, 2021, it may be more difficult to liquidate these Securities . Quoting and market liquidity may also be very limited. The list is below as of November 22, 2021 and is subject to change at any time. Symbol Cusip Company Name AACS 025199100 American Commerce Solutions, Inc. AAIIQ 01023E100 Alabama Aircraft Industries, Inc.
Sep 28, 2021 · AGSM 82825R101 Silver Stream Mining Corp. AGTK 00856J202 Agritek Holdings, Inc. 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.
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