Category: 15c2-11 Application 52

Changes to the SEC Rule 15c2-11 went into effect on September 28, 2021. The new rules address amended 15c2-11 application requirements, requirements for public disclosure of information before quoting a security, unsolicited quotes, and the expanded role of the OTC Markets Group.  See our previous articles about the exact requ
Overview The Stock Market as we know it has existed for over 100 years with an average of 12% gain over a 10-year period.  These kinds of numbers are prime for those who hold onto their investments for the long-term.  There have been two bona fide crashes of the market that happened in 1929 (Black Tuesday), which signaled the
Effective December 12, 2019, the OTCQX rules to list and maintain a company on the OTCQX have been modified. The OTCQX listing holds the highest level of entry compared to its kinship with other market tiers on OTC Markets, and inherently has "high standards". By complying to these recent changes, issuers can still remain on
On April 12, 2017, the Financial Industry Regulatory Authority (FINRA) published three regulatory notices proposing amendments to three of their rules regarding capital formation, corporate financing, and safe harbor, respectively. The first notice describes FINRA as a self-regulatory organization (SRO) with primary emphases on