Notice of Proposed Conditional Exemptive Order Granting a Conditional Exemption from the Information Review Requirement of Amended Rule 15c2-11(a)(1)(i) and the Recordkeeping Requirement of Amended Rule 15c2-11(d)(1)(i)(A) under the Securities Exchange Act of 1934 for Certain Publications or Submissions of Broker-Dealer Quotations on an Expert Market

Filter comments

Date Received
Date Letter Type Commenter Name
Public Comment Donna Peters-Imbrogo, Chair, Canadian Bond Investors Association
Public Comment Nick Ahlers
Public Comment Austin Craig, Financial Writer
Public Comment Michael D. Tofias, Private Investor
Public Comment Writser Cleveringa
Public Comment Brad Christensen, None
Public Comment Dan Schum
Public Comment Tim L.
Public Comment Jim Rivest
Public Comment Marcus Frampton, CFA, CAIA, FRM, Private Investor, Juneau, Alaska
Public Comment Daniel Zinn, General Counsel, OTC Markets Group Inc. and Cass Sanford, Associate General Counsel, OTC Markets Group Inc.
Public Comment Joe Helmer, CFA, Caldwell Sutter Capital, Sausalito CA
Public Comment Robert E. Buckholz, Chair, Federal Regulation of Securities Committee ABA Business Law Section
Public Comment Dan Zinn, General Counsel, OTC Markets Group Inc. and Cass Sanford, Associate General Counsel, OTC Markets Group Inc.
Public Comment Gregory L. Wright, President and Head of Banking, Zanbato Securities LLC
Public Comment James E. Mitchell, General Partner, Mitchell Portfolio Management
Public Comment Marcus Frampton, CFA, CAIA, FRM, Juneau, Alaskas
Public Comment Peter Quagliano
Public Comment Destiny McCowen

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-23-20
Release Number
34-90769
Related Materials
How to submit comments