DUE-DILIGENCE INFORMATION

By SovConn | July 26, 2014

due-diligence information.Securities. Information that a broker-dealer is required to have on

file and  make available to potential customers before submitting quotations for over-the-counter

securities.  •  The  informational  requirements  are  set  out  in  SEC  Rule  15c2-11  (17  CFR  §

240.15c2-11). [Cases: Securities Regulation    25.21(4), 25.62(2). C.J.S. Securities Regulation §§

87, 95.] [Blacks Law 8th]

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