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211 pink sheets Form: What You Should Know
The OTC Pink Sheet companies Frequently Asked Questions 1. Is all OTC pink sheets required to comply with Form 211? A. No. OTC companies can elect to file an amended prospectus or Form 10, as the case may be. 2. How do I file my Form 211? A. Please visit the OTC Pink Sheet website for the applicable filing forms. 3. How soon after Form 311 is filed do I have to file Form 211? A. The OTC Current Reporting Requirements have been suspended when the OTC Pink Sheet company has filed its Form 311 on or before December 31 of the immediately prior fiscal year. 6. Is there a deadline to file Form 211? A. The OTC Current Reporting Requirements have been suspended when the OTC Pink Sheet company has filed its Form 311 on or before March 31 of the immediately prior fiscal year. 7. Is the Form 211 report public if I file it myself or my client files it? A. In certain circumstances Form 211 report may be subject to a confidentiality prohibition, the nature of these conditions varies by industry, including: (a) an individual, the person of which is or is deemed by the United States to be an officer, director, principal shareholder or major stockholder; (b) an entity in which any such individual is or is deemed to be a public officer, director, or major stockholder and in which all such officers, directors, or stockholders are members of its board of directors; or (c) an entity in which a person, other than a person described in (a) or (b), is the issuer or designated under state securities laws to act on behalf of the issuer in managing or trading its listed assets. 8. Am I required to register my firm? A. As of March 15th, 2014, any company not listed on a national securities exchange must register with FINRA (FINRA). As of March 15th 2014, for the purpose of Form 211 reporting any company is required to submit a public registration statement. 9. What if I know or suspect someone has broken the OTC Pink Sheet company's Form 311 or filed a Form 211 that violates SEC rules or regulations? A. If you know or suspect a violation of any rule, SEC rule, or regulation then please send a confidential letter of complaint in writing to FINRA's Compliance Department.
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