Finra 211 2026

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The document is a Form 211 used to initiate or resume quotations for securities in the OTC Bulletin Board, OTC Link, or similar platforms. It outlines the requirements for firms to comply with SEC Rule 15c2-11 and FINRA Rule 6432, including necessary issuer information and documentation. The form must be submitted to FINRA along with supporting materials, and it includes sections for issuer details, security information, and certification of accuracy by the submitting firm.

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Click ‘Get Form’ to open it in the editor.
Begin with Part 1, where you will provide the Issuer and Security Information. Fill in the exact name of the issuer, address, and contact details. Ensure you check the type of security and provide the necessary identifiers like CUSIP.
Move to Part 2 and select the applicable box for Required Issuer Information. Depending on your situation, attach recent offerings or financial statements as required by Rule 15c2-11.
In Part 3, describe any relevant circumstances surrounding your application submission. Be thorough in detailing any trading suspension orders or material information about the issuer.
Complete Part 5 by certifying that all information is accurate. Sign and date where indicated, ensuring that all required fields are filled out correctly before submission.

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