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Strategies & Market Trends : Value Investing

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To: diegosan who wrote (68313)

9/1/2021 4:35:00 PM

From: walterenergy

Read Replies (1) of 78915

BWEL - Schwab

A friend of mine forwarded this email from Schwab that he received today

Get answers to your questions about Rule 15c2-11 amendments

In July, you may have received a notification from us about amendments to Securities Exchange Rule 15c2-11 and how they potentially impact securities held in your account(s). To help you understand the changes, we wanted to share with you the answers to some frequently asked questions (FAQs) and provide you with an updated list of your affected securities.

Your next steps and FAQ highlights.


•	No action is required. You’re not required to close positions or to take any specific action regarding any open position.

•	After the close of regular trading on August 31, 2021, new opening orders will not be permitted for securities that trade on the OTC markets that have not met SEC financial disclosure requirements. Closing orders for these securities will be accepted, subject to market maker participation and availability of quotes.

•	Foreign ordinary shares traded directly in local, foreign markets are not impacted by the amendments to the Rule at this time.

•	These amendments do not impact transactions normally completed through Schwab’s alternative investment process. In other words, alternative investment products which transact privately by wire or subscription are not affected.

•	No new orders will be allowed to buy or sell short securities that trade on the OTC markets with the caveat emptor designation1. This is an existing regulatory restriction that will remain in place.

•	Click here to read the full FAQs or go to www.schwab.com/resource/otcexpertmarket to review the complete list of restricted securities.

Your affected positions as of August 5, 2021.*The table below contains your open positions which may be affected by the Rule 15c2-11 amendments as of August 5, 2021. Due to space limitations we can only include up to six positions within the table; you may have more affected positions than can be shown.

SymbolCUSIPCompany Name

BWEL	101205102	BOSWELL J G CO

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