No-action letter clarifies the application of SEC Rule 15c2-11 to fixed-income securities On November 22, 2024, the Securities and Exchange Commission's ("SEC") Division of Trading and Markets issued ...

The Securities and Exchange Commission (SEC) has amended Rule 15c2-11 (the amended Rule), which governs the publication of quotations in the over-the-counter (OTC) markets, i.e., quotes that are ...

An announcement from Silex Systems Limited ( (AU:SLX)) is now available. Silex Systems Limited announced the quotation of 562,500 fully paid ordinary securities on the Australian Securities Exchange ...

The Financial Industry Regulatory Authority has scrapped a deal to sell its OTC Bulletin Board trademark and other assets to Rodman & Renshaw Capital Group. As a result, FINRA will continue to operate ...

The Financial Industry Regulatory Authority, to the surprise of many industry pros, is proposing the elimination of the “three-quote” rule used in the over-the-counter market. The regulator says the ...

Nasd approved new rules to establish an over-the-counter quotation and trade reporting facility in December. The ADF will allow registered NASD market makers and electronic communications networks to ...