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Firm Name Telephone Number Market Participant Identifier. List the security information in the spaces provided below. A registered principal of your firm must sign the form. Mail your completed form to FINRA OTC Compliance Unit 9509 Key West Avenue Rockville MD 20850-3329 or fax it to 240 386-5137. RULE 15c2-11 REGIONAL EXEMPTION REQUEST FORM Complete this form to initiate or resume quotations in the OTC Bulletin Board for securities that meet the qualifications under NASD Rule 6530 a 1 A and...
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Music I'm attorney Laura Anthony founding partner of Legal camp; Compliance a full service corporate securities and business transactions' law firm today is the continuation in a law cast 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 dEvaler 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 law cast 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

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