Rule 15c2-11, 17 CRF 240.15c2-11 (Publication or submission of quotations without current information)

ICR 202303-3235-044

OMB: 3235-0202

Federal Form Document

Forms and Documents

Document Name	Status
3235-0202.pdf Supplementary Document	2023-06-16
3235-0202.pdf Supplementary Document	2023-06-16
DGL REVISED 2023 Rule 15c2-11 2023 Supporting Statement (4-5-23).pdf Supporting Statement A	2023-04-05

IC Document Collections

IC ID	Document Title	Status
251247	Recordkeeping obligations of broker-dealers relying on publicly available determinations by qualified IDQSs or registered national securities associations pursuant to paragraph (d)(2)(ii)	Modified
251246	Recordkeeping obligations related to the creation of reasonable written policies and procedures under paragraph (a)(3)	Modified
251245	Recordkeeping obligations of broker-dealers relying on a qualified IDQS complying with information review requirement pursuant to paragraph (a)(1)(ii)	Modified
251244	Recordkeeping obligations for the exceptions under paragraph (f)(5) – ADTV Test	Modified
251243	Recordkeeping obligations for the exceptions under paragraph (f)(5) – Asset Test	Modified
251242	Recordkeeping obligations regarding trading suspensions under the provision in paragraph (f)(3)(i)(B)	Modified
251241	Recordkeeping obligations regarding determining shell status under the provision in paragraph (f)(3)(i)(B)	Modified
251240	Recordkeeping obligations regarding frequency of a priced bid or offer quotation under paragraph (f)(3)(i)(A)	Modified
251239	Recordkeeping obligations under unsolicited quotation exception under paragraph (f)(2)	Modified
251238	Recordkeeping when relying on an exception under paragraph (f), that paragraph (b) information is current and publicly available	Modified
251237	Recordkeeping Associated with the initial publication or submission of a Quotation in a Quotation Medium	Modified