3235-0202_2026-06242 - PaperworkReductionAct - Outlook

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4/15/26, 8:38 AM

3235-0202_2026-06242 - PaperworkReductionAct - Outlook

Outlook
Federal Registry - Rule 15c2-11
From Tom Carroll <[email protected]>
Date Tue 4/14/2026 11:57 AM
To

PaperworkReductionAct <[email protected]>

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c/o Tanya Ruttengerg
Re: Rule 15c2-11
Mrs. Ruttenberg,
I am seeking information regarding the resumption of quotations for fixed income securities in
the proposed exemptive relief amendments. The Notice filed by the SEC on 4/1/2026 (dated:
3/27/2026) references 27 OTC securities of “catch-all issuers”. I own, personally and for clients,
several of the securities that were restricted under Rule 15c2-11 following adoption in 2020. I
wish to know if there is a list of the 27 securities referenced by the SEC in the posted notice
Federal Register :: Agency Information Collection Activities; Proposed Collection; Comment
Request; Extension: Rule 15c2-11?
As you may or may not be aware of, securities of formerly publicly traded companies were
captured in this rule. Some securities are debt issues and some are fixed income preferred
shares that traded on the exchange before restriction. I wish to know if the securities I hold will
be provided relief from Rule 15c2-11. Can you provide me with a list of the 27 “catch-all
issuers”?
I appreciate any relief clarification you can provide.
Regards,
Tom Carroll, CRPC

Financial Advisor
1569 E Main Street
Ventura, CA 93001
(805)844-5029
[email protected]
www.provident-advisors.com
Securities offered through LPL Financial. Member FINRA/SIPC. Investment advice offered through Verus Capital Partners, LLC, a
registered investment advisor and separate entity from LPL Financial. Trading instructions sent via email may not be honored. To place a
trade, please contact my office at 805-844-5029 or the custodian of your account for all buy/sell orders. Please be advised that
communications regarding trades in your account are for informational purposes only. You should continue to rely on confirmations and
statements received from the custodian(s) of your assets.
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3235-0202_2026-06242 - PaperworkReductionAct - Outlook

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