Broker-Dealers Rule 3a12-11 — Exemption from sections 8(a), 14(a), 14(b), and 14(c) for debt securities listed on a national securities exchange RCW Staff - January 1 2015 Share A- A+ 100% Create an account to continue reading Gain instant access to our expert editorial analysis and in-depth insight. Register for free Already have an account? Sign in