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form 211 pink sheets

15c211 market maker

form 211 finra

piggyback exemption

what is form 211

piggyback exception of exchange act rule 15c2 11 f )( 3

rule 15c2-11(a)(5)(i) to (xiv) and (xvi)

finra rule 6432

Rule 15c2-11 (“SEC Rule 15c2-11") of the Securities Exchange Act of 1934 (the “Exchange Act") can be used by a private company seeking to go public without
20 Aug 2014 Among other things, Rule 15c2-11 requires broker-dealers to review and and until FINRA has approved a Form 211 relating to the stock.
Form 211 completion indicates that the market maker has satisfied all applicable requirements of SEC Rule 15c2-11, as well as the filing and information
SEC Rule 15c-211 allows broker dealers to initiate or resume trading quotes on the NYSE or NASDAQ by filing Form 211 to the FINRA OTC Compliance Unit.
Form 211 is the form which must be completed pursuant to FINRA Rule 6432 and submitted to
Legal and Compliance prepares Finra Form 211, 15c2-11 Due Diligence, 15c2-11 In addition, Rule 15C2-11 requires that a market maker make such
SEC Rule 15c2-11 governs the submission and publication of quotations by Section 4 of the By-Laws together with a completed Form 211 at least three
By completing this form, your firm is representing that it has satisfied all applicable requirements of Securities and Exchange Commission (SEC) Rule 15c2-11
provided by paragraphs (f)(1)-(5) or (h) of Rule 15c2-11. Send the completed form and a copy of the required Issuer information to FINRA, OTC Compliance Unit,.
Securities and Exchange Commission Rule 15c2-11 promulgated under the Securities is submitted by the sponsoring broker-dealer to FINRA on Form 211.

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March 2018