Rule 15c2-11
2 stories
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financeSEC Clarifies Rule 15c2-11 Applies Only to Equity Securities
The U.S. SEC clarifies that Rule 15c2-11 governs only equity securities, not crypto or fixed-income assets, bringing clarity to OTC markets and broker compliance.
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cryptoSEC Revisits Broker-Dealer Rule Amid Crypto Clarity Push
The SEC proposes narrowing Rule 15c2-11 to equity securities only, seeking public input on crypto's classification and regulatory future.