Securities and Exchange Commission October 2020 – Federal Register Recent Federal Regulation Documents
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SEC Small Business Capital Formation Advisory Committee
The Securities and Exchange Commission Small Business Capital Formation Advisory Committee, established pursuant to Section 40 of the Securities Exchange Act of 1934 as added by the SEC Small Business Advocate Act of 2016, is providing notice that it will hold a public meeting by videoconference. The public is invited to submit written statements to the Committee.
Publication or Submission of Quotations Without Specified Information
The Securities and Exchange Commission (the ``SEC'' or the ``Commission'') is adopting amendments to Rule 15c2-11 (the ``Rule'') under the Securities Exchange Act of 1934 (the ``Exchange Act''), which governs the publication of quotations for securities in a quotation medium other than a national securities exchange, i.e., over-the- counter (``OTC'') securities. The amendments are designed to modernize the Rule, promote investor protection, and curb incidents of fraud and manipulation by, among other things: Requiring information about issuers to be current and publicly available for broker-dealers to quote their securities in the OTC market; narrowing reliance on certain exceptions from the Rule's requirements, including the piggyback exception; adding new exceptions for the quotations of securities that may be less susceptible to fraud and manipulation; removing obsolete provisions; adding new definitions; and making technical amendments.
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