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Instructions and help about finra 15c211

Music I'm attorney Laura Anthony founding partner of Legal & Compliance a full service corporate securities and business transactions law firm today is the continuation in a lawcast series talking about the rule 15c 211 requirements on January 8 2018 OTC Markets Group submitted a comment letter to FINRA related to FINRA rule 60 432 rule 60 432 requires that a market maker or broker dealer have the information specified in securities exchange after all 15 C 211 before making a quotation in securities on the over-the-counter market and the last lawcast in this series i summarized rule 60 432 on February 8 2018 OTC markets submitted a second comment letter to FINRA this one related to FINRA rule 52 50 rule 52 50 prohibits companies from compensating market makers in connection with the preparation and filing of a Form 211 application in particular FINRA rule 52 50 is entitled payment for market making rule 52 50 specifically prohibits a market maker from accepting any payments or any

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