November 24, 2006
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Forms

The forms described on this page are available in PDF format to view and/or print. You must have Adobe Acrobat Reader to view PDFs.

Form 211

Market Makers must complete this form to initiate or resume quotations in the OTC Bulletin Board® Service, the OTC Markets, or any other comparable quotation medium. By completing this form, a market maker is representing that it has satisfied all applicable requirements of Securities and Exchange Commission (SEC) Rule 15c2-11 and the filing and information requirements of FINRA Rule 6432. It is not necessary to file this application if an exemption applies.

15c2-11 Exemption Request Form - "Piggyback Exception"

An exemption from the filing of a Form 211 is available to market makers when they are moving from another quotation medium into the OTCBB. The 5 principle conditions which must be satisfied in order to use this exception are described in the Rule 15c2-11 Exemptions.

Regional Exemption Form

An exemption from the filing of a Form 211 is available to Market Makers for certain securities listed on a U.S. regional exchange.



  
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