DUE-DILIGENCE INFORMATION

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.]