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Form of Notice under Sec Rule 15c2 12

Form of Notice under Sec Rule 15c2 12

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“FGIC”) have had their insured ratings downgraded by the following rating agencies: • On January 30, 2008, Fitch Ratings downgraded FGIC to ‘AA’ from ‘AAA’ with a “Rating Watch Negative.” • On January 31, 2008, Standard & Poor’s downgraded FGIC to ‘AA’ from ‘AAA’ and placed FGIC on a “Negative Credit Watch.” • On February 14, 2008, Moody’s Investor Services downgraded FGIC to ‘A3’ from ‘AAA’ with a “Negative Outlook.” • On February 25, 2008, Standard & Poor’s downgraded FGIC to ‘A’ from...
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Music I'm attorney Laura Anthony founding partner of Legal camp; Compliance a full service corporate securities and business transactions' law firm today is the continuation in a law cast series talking about the rule 15c 211 requirements on January 8, 2018, OTC Markets Group submitted a comment letter to FINRA related to FINRA rule 60 432 rule 60 432 requires that a market maker or broker dEvaler have the information specified in securities exchange after all 15 C 211 before making a quotation in securities on the over-the-counter market and the last law cast in this series I summarized rule 60 432 on February 8, 2018, OTC markets submitted a second comment letter to FINRA this one related to FINRA rule 52 50 rule 52 50 prohibits companies from compensating market makers in connection with the preparation and filing of a Form 211 application in particular FINRA rule 52 50 is entitled payment for market making rule 52 50 specifically prohibits a market maker from accepting any payments


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