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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