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Finra 211 Form: What You Should Know

By using this form for this purpose, your firm has  significance to the market, thereby facilitating the going public transaction. This is the only form you need.  To find the sponsoring market maker, the company should contact a broker in its office in person, call or write to your firm, or simply search in the OTC Pink Sheets (or other quotation systems) for the trading symbol. Form 211. General Instructions. Complete this form to initiate or resume trading quotations on the OTC Pink Sheets (or the other quotation systems). It does not  have to be filed until the end of the second day after the date of the going public announcement. See the “Form 211 Reporting” section of this Guide. o. Special Instructions. For firms wanting to go public. Pursuant to Section 23 of the Securities Exchange Act of 1934, the company was required to notify FINRA within 45 days of it's going public announcement. For firms that have already gone public, this requirement may be reduced to 24 days — see the “Section 23” table. Form 211 — OTC Markets — OTC Pink Sheets. Form 211. General Instructions. Complete this form to initiate or resume quotations in the OTC Pink Sheets. A firm filing this form must register with FINRA so that it can receive quotes.  Form 211. General Instructions. Complete this form to initiate or resume quotations on the OTC Pink Sheets (or other quotation systems) (including through your firm). FINRA requires that you use this form for this purpose. FINRA requires companies using or planning to use this form to register at FINRA. o. Special Instructions. For firms wanting to go private. To use Form 211 to go private, the company must first register with a broker that FINRA will designate as the private firm's representative by telephone within 45 days of going private. A market maker should then send the Form 211 form to FINRA. A firm also must file an amendment to its registration statement to include its private firm as its broker-dealer. FORM 211. General Instructions Fill in the appropriate column(IES) here. You may not submit more than three columns and not more than two forms to FINRA. o. Special Instructions. For firms wanting to go public in the United States.

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