Filing Form 211 with FINRA

Form 211 allows a company to initiate of resume quotations on an exchange.  The form is filed with FINRA and is about 7 pages long.  As stated by FINRA:

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) including, but not limited to, the OTC Bulletin BoardTM or OTC Link® ATS. By completing this form, your firm is representing that it has satisfied all applicable requirements of Rule 15c2-11 and the filing and information requirements of FINRA Rule 6432. It is not necessary to file this application if a member qualifies for an exception or exemption provided by paragraphs (f)(1)-(5) or (h) of Rule 15c2-11.

This form is also used to initiate and resume quotations on OTC Markets and other stock exchanges in the USA.  Filing Form 211 is a step in the IPO Process and sometimes used by companies that where once on the public markets and are looking to be re-quoted on an exchange.  You can find FINRA Form 211 here.  Need help filing Form 211 with FINRA?  Our consultants can guide you through the process and explain how it works.  Contact us today.

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Not Your Daddys' Holding Company
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