Finra 211 2025

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Once a company is reporting, it is eligible to have a market maker file a Form 211 with FINRA. The 211 must be approved by FINRA, which normally takes three to six months before the company can trade its stock on the OTC Markets.
Rule 15c2-11 requires broker-dealers to make current and publicly available information about the issuer and its security accessible to investors before a broker-dealer can provide price quotations in the over-the-counter market.
The IRS generally performs a taint review of information submitted with the Form 211, Application for Award for Original Information PDF, to identify and evaluate potential evidentiary, ethical, legal, or privilege concerns associated with the whistleblowers information.
[1] Weirdly, Rule 2330 does NOT explicitly cover recommendations involving a strategy, as Rule 2111 does. If you read Rule 2330, it only applies to recommended purchases and exchanges of deferred variable annuities and recommended initial subaccount allocations, i.e., actual transactions, not strategies.
Rule 2111 prohibits a member or associated person from recommending a transaction or investment strategy involving a security or securities or the continuing purchase of a security or securities or use of an investment strategy involving a security or securities unless the member or associated person has a reasonable

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Pursuant to SEC Rule 15c2-11, a Market Maker must file Form 211 with FINRA. Form 211 provides the basic information regarding the company. In order to fully comply with Rule 15c2-11 there are many more items that need to be provided to the Market Maker. There are also some minimums that are important to note.

finra 211