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View EO 12866 Meetings Printer-Friendly Version     Download RIN Data in XML

SEC RIN: 3235-AH40 Publication ID: Spring 2013 
Title: Publication or Submission of Quotations Without Specified Information 
Abstract: As part of its efforts to respond to fraud and manipulation in the microcap securities market, the Commission proposed amendments to Rule 15c2-11. These amendments would limit the rule's piggyback provision and increase public availability of issuer information. The amendments would expand the information review requirements for non-reporting issuers and the documentation required for significant relationships between the broker-dealer and the issuer of the security to be quoted. Finally, the amendments would exclude from the rule securities of larger, more liquid issuers. 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: 17 CFR 240.15c2-11 
Legal Authority: 15 USC 78c; 15 USC 78j(b); 15 USC 78o(c); 15 USC 78o(g); 15 USC 78q(a); 15 USC 78w(a) 
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  02/25/1998  63 FR 9661 
NPRM Comment Period End  04/27/1998   
Second NPRM  03/08/1999  64 FR 11124 
Second NPRM Comment Period End  04/07/1999   
Second NPRM Comment Period Extended   04/14/1999  64 FR 18393 
Comment Period End  05/08/1999   
Third NPRM  07/00/2013   
Regulatory Flexibility Analysis Required: Yes  Government Levels Affected: None 
Small Entities Affected: Businesses  Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/proposed/34-41110.htm  
RIN Data Printed in the FR: Yes 
Agency Contact:
Barry O'Connell
Securities and Exchange Commission
Division of Trading and Markets, 100 F Street NE,
Washington, DC 20549
Phone:202 551-5787

 
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