Finra 211 2025

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The document is a Form 211 used to initiate or resume quotations in the OTC Bulletin Board, OTC Link, or similar mediums. 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 completed and submitted to FINRA along with required issuer details, financial reports, and certifications regarding the accuracy of the information provided.

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How long does Form 211 take?

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.

What are the requirements for 15c2-11?

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.

What is the purpose of the Form 211?

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.

What is the difference between rule 2330 and rule 2111?

[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.

What is Rule 211 FINRA?

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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What is form 211 FINRA?

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.