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The SEC Recently Amended Rule 15c2-11.

What Does this Mean and How Does it Affect OTC Businesses? In September 2020, the Securities and Exchange Commission (SEC) announced an amendment to Exchange Act Rule 15c2-11, which the commission describes as “an important component of the over-the-counter (OTC) market regulatory structure.” The amendment has not been modified in nearly 30 years. With new […]

Understanding the Main Street Lending Program

The worldwide Coronavirus Pandemic has thrown many businesses into a tailspin by disrupting workflow and creating a drastic decline in commerce for a wide range of industries. Businesses have been faced with the challenge of instituting and enforcing new operating policies and procedures that keep workers safe including stay-at-home work policies and many have had […]