This script search US Code. View Rule
Menu Item - Home
Menu Item - Agenda Main page
Menu Item - Historical Agenda
Menu Item - Historical Agenda
Menu Item - Agenda Search
Menu Item - Agenda XML Reports
Menu Item - EO Dashboard
Menu Item - Reg Review
Menu Item - EO Agency lists
Menu Item - EO Search
Menu Item - EO Historical Reports
Menu Item - Review Counts
Menu Item - OIRA Letters
Menu Item - EOM 12866 Search
Menu Item - EO XML Reports
Menu Item - ICR Dashboard page
Menu Item - ICR Main page
Menu Item - ICR Search
Menu Item - ICR XML Reports
Menu Item - FAQ
Menu Item - Additional Resources
Menu Item - Contact Us
Search: Agenda Reg Review ICR

View Rule

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
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:  
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

About Us   Vertical Spacer Spacer Related Resources   Vertical Spacer Spacer Disclosure   Vertical Spacer Spacer Accessibility   Vertical Spacer Spacer Privacy Policy   Vertical Spacer Spacer Contact Us