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What is Rule 15c 211?

Rule 15c2-11 was recently amended by the Securities and Exchange Commission (SEC) to provide for additional disclosure by broker-dealers to potential investors and the staff of the SEC has made it clear that it views Rule 15c2-11 as applying to both equity and fixed income securities.

How long does it take for the Form 211 to be approved?

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. FINRA will require a certain number shareholders, sufficient public float, and an operating entity that meets its financial statement requirements to approve the 211 application.

What does the FINRA regulate?

FINRA Regulates Broker-Dealers, Capital Acquisition Brokers, and Funding Portals. A Broker Dealer is in the business of buying or selling securities on behalf of its customers or its own account or both.

When did finra Rule 2111 become effective?

Guidance on FINRA's Suitability Rule. In November 2010, the Securities and Exchange Commission (SEC) approved FINRA Rule 2111 (Suitability), which became effective on July 9, 2012.

What is a 211 filing?

The Form 211 is the path for submitting information (and requesting an award) to the IRS about individuals and businesses that are failing to pay federal tax.

form 211 finra

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What is a Form 211?

What Is Form 211: Application for Award for Original Information? Internal Revenue Service (IRS) Form 211 is an application that must be submitted to the IRS by a \u201cwhistleblower\u201d who seeks to claim a reward for providing information about tax evasion to the U.S. government.

What are the elements of Finra Rule 2111?

Rule 2111 is composed of three main obligations: reasonable-basis suitability, customer-specific suitability, and quantitative suitability.

What is a FINRA Form 211?

FORM 211. General Instructions. Complete this form to initiate or resume quotations in a quotation medium, as defined in Rule 15c2- 11(e)(i) under the Securities Exchange Act of 1934 (1934 Act) including, but not limited to, the OTC. Bulletin BoardTM or OTC Link® ATS.

How long does it take for the Form 211 to be approved?

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. FINRA will require a certain number shareholders, sufficient public float, and an operating entity that meets its financial statement requirements to approve the 211 application.

What does FINRA stand for?

To protect investors and ensure the market's integrity, FINRA\u2014the Financial Industry Regulatory Authority\u2014is a government-authorized not-for-profit organization that oversees U.S. broker-dealers.

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