Statements (19)
| Predicate | Object |
|---|---|
| gptkbp:instanceOf |
securities regulation
|
| gptkbp:adoptedBy |
1971
|
| gptkbp:amendedBy |
2020
|
| gptkbp:appliesTo |
broker-dealers
OTC securities quotation publications quotation systems |
| gptkbp:codifiedIn |
17 CFR 240.15c2-11
|
| gptkbp:enforcedBy |
gptkb:U.S._Securities_and_Exchange_Commission
|
| gptkbp:excludes |
certain government securities
NMS securities |
| https://www.w3.org/2000/01/rdf-schema#label |
Rule 15c2-11
|
| gptkbp:purpose |
prevent fraud in OTC markets
|
| gptkbp:regulates |
quotation of OTC securities
|
| gptkbp:requires |
review of issuer information
maintenance of records by broker-dealers public availability of current information |
| gptkbp:bfsParent |
gptkb:17_CFR_§_240.15c2-11
|
| gptkbp:bfsLayer |
7
|