Join date: Sep 21, 2018
Jun 23, 2021 ∙ 2 min
OTC MARKETS DESLISTING DEADLINES COMING SOON FOR NON-CURRENT COMPANIES
Exchange Act Rule 15c2-11 governs when broker-dealers may publish electronic quotes in securities that are not traded on an exchange. On...
Aug 26, 2020 ∙ 2 min
LONG OVERDUE: SEC AMENDS “ACCREDITED INVESTOR” DEFINITION
During my almost ten years of securities practice, I have always had an issue with the people and entities that are allowed to take part...
Brian Higley, Esq.