Statements (18)
| Predicate | Object |
|---|---|
| gptkbp:instanceOf |
securities regulation
|
| gptkbp:affects |
gptkb:OTC_Markets
|
| gptkbp:amendedBy |
2020
|
| gptkbp:appliesTo |
broker-dealers
|
| gptkbp:citation |
gptkb:17_CFR_§_240.15c2-11
|
| gptkbp:enforcedBy |
gptkb:SEC
|
| gptkbp:excludes |
certain government securities
|
| https://www.w3.org/2000/01/rdf-schema#label |
Regulation 15C2-11
|
| gptkbp:issuedBy |
gptkb:U.S._Securities_and_Exchange_Commission
|
| gptkbp:partOf |
gptkb:Securities_Exchange_Act_of_1934
|
| gptkbp:penalty |
sanctions by SEC
|
| gptkbp:purpose |
prevent fraudulent and manipulative quotations
|
| gptkbp:regulates |
quotation of OTC securities
|
| gptkbp:requires |
publicly available current information
review of issuer information |
| gptkbp:startDate |
1971
|
| gptkbp:bfsParent |
gptkb:Exchange_Act
|
| gptkbp:bfsLayer |
5
|