OMB control number
Rule 15c2-11, 17 CRF 240.15c2-11 (Publication or submission of quotations without current information)
OMB 3235-0202 · SEC.
Rule 15C2-11 (the "Rule") 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 Commission adopted amendments 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.
The latest form for Rule 15c2-11, 17 CRF 240.15c2-11 (Publication or submission of quotations without current information) expires 2026-08-31 and can be found here.
Document Name |
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Supplementary Document |
Supplementary Document |
Supporting Statement A |
3235-0202.pdf
Recordkeeping obligations of broker-dealers relying on publicly available determinations by qualified IDQSs or registered national securities associations pursuant to paragraph (d)(2)(ii) Recordkeeping Associated with the initial publication or submission of a Quotation in a Quotation Medium
Federal Enterprise Architecture: Economic Development - Financial Sector Oversight