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0110. ADOPTION OF RULES
0120. EFFECTIVE DATE
0130. INTERPRETATION
0140. APPLICABILITY
0150. APPLICATION OF RULES TO EXEMPTED SECURITIES EXCEPT MUNICIPAL SECURITIES
0151. COORDINATION WITH THE MSRB
0160. DEFINITIONS
0170. DELEGATION, AUTHORITY AND ACCESS
0180. APPLICATION OF RULES TO SECURITY-BASED SWAPS
0190. EFFECTIVE DATE OF REVOCATION, CANCELLATION, EXPULSION,
INFORMATIONAL
Decimalization
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Options
Registered Representatives
Senior Management
Technology
Trading & Market Making
Decimalization
Executive Summary
The Securities and Exchange Commission (
(a) Quotation Recording Requirements
(1) Subject to the terms and conditions contained herein, each OTC Market Maker that displays priced quotations (bid and/or offer) or unpriced indications of interest in OTC Equity Securities in an inter-dealer quotation system that permits quotation updates on a real-time basis shall record each item of information described in paragraph (b) of this Rule.
