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What is The Need of Rule 15c211?

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Aubrey Lambert Apr 17, 2020
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Addison Cooper Apr 17, 2020

Under SEC Rule 15C211, a U.S. securities broker or dealer may not publish a quotation for any security unless certain information concerning the issuer is available and the broker or dealer has a reasonable basis for believing that the information is accurate. Colonial Stock Transfer Company can provide consultation services regarding your 15c2-11 submission. Contact us to learn more. For more details, visit https://www.colonialstock.com/.