Finra Form 211. The otc equity symbol request form (finra new issue form) is available on the finra gateway. Form 211 provides the basic information regarding the company.
FINRA ADDS Optional Services Request Form
Finra adopts new electronic form 211 for purposes of compliance with finra rule 6432; Otc equity symbol request form. The otc equity symbol request form (finra new issue form) is available on the finra gateway. Web rule 211 requires a capital acquisition broker to have a reasonable basis to believe, based on reasonable diligence, that the recommendation is suitable for at least some investors. Complete this form to initiate or resume quotations in a quotation medium, as defined in rule 15c211(e)(i) under the securities exchange act of 1934 (1934 act)… Web the form 211 is designed to gather pertinent information regarding the subject issuer and security, the members knowledge of and relationship with the issuer, and the member’s intended quotation activities with respect to the security. Proposed rule change to implement a new electronic form 211; Form 211 provides the basic information regarding the company. Web form 211 general instructions complete this form to initiate or resume quotations in the otc bulletin board® service, the national quotation bureau (nqb) “pink sheets®”, or any other comparable quotation medium. Contact us today to learn more about our services including form 211 filings, dtc eligibility, and physical certificate deposits.
The form is filed with finra and is about 7 pages long. Proposed rule change to implement a new electronic form 211; Otc equity symbol request form. Web the form 211 is designed to gather pertinent information regarding the subject issuer and security, the members knowledge of and relationship with the issuer, and the member’s intended quotation activities with respect to the security. Web broker & market maker. Web rule 211 requires a capital acquisition broker to have a reasonable basis to believe, based on reasonable diligence, that the recommendation is suitable for at least some investors. Contact us today to learn more about our services including form 211 filings, dtc eligibility, and physical certificate deposits. The form is filed with finra and is about 7 pages long. The otc equity symbol request form (finra new issue form) is available on the finra gateway. Complete this form to initiate or resume quotations in a quotation medium, as defined in rule 15c211(e)(i) under the securities exchange act of 1934 (1934 act)… Web form 211 allows a company to initiate of resume quotations on an exchange.
