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RULE 15c2 11 REGIONAL EXEMPTION REQUEST FORM Issuer

RULE 15c2 11 REGIONAL EXEMPTION REQUEST FORM Issuer

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Instructions and help about form 15c211

okay when is a company required to uh register under the 34 act well as previously discussed if a company goes through an initial issuance of Securities under the 33 act then it has to register well likewise under the 34 act a an issuance of Securities pursuant to section 5 of the 33 act requires a registration but there are other situations where a company uh could be required to register and and become a public reporting company um another situ would be if the uh company has shares sold on a National Exchange sold publicly on a National Exchange such as the New York Stock Exchange then that company would have to uh register with the SEC and then uh lastly if the company gets to a certain size so if the company has a total of uh 2,000 uh shareholders of unrestricted shares or if you have uh 500 unaccredited shareholders and okay so the 2,000 uh shareholders or 500 uncredited shareholders and um you have uh more than uh $10 million uh in assets uh then you'll have to register w

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