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Otcbb market maker requirements Form: What You Should Know
The form must contain a current description of the company and its products by market maker and must include a statement that, if the company is a market maker, a written notification shall be sent to FINRA to notify us in writing that the company has completed the requirements for listing on the OT CBB. 1. 3. 6 (within 90 days) ; Price Quotes by Market Ma… 1st Amendment and Other Amendment to Company Registration Statement for Glendale Securities, Inc. (b) First Amendment The registration statement for Glendale Securities, Inc., a New York corporation, is hereby amended as follows: a. By removing the words “market maker” and placing in place the following description of the company: a. For this purpose, the term “market maker” refers to any person who buys and sells, under various trading arrangements, all or part of the securities in a single trading day or in a few consecutive trading days, and who places the securities for sale on or over any exchange or market (“market”), where such person uses in either case the information obtained from a trading computer application to select securities for sale on or over such exchange or market, as follows: b. By adding a reference to the words “a continuous over-the-counter market” to the company's current registration statement (or a modified registration statement of a company with regard to the same or other exchanges); or c. By adding a definition of “market” as follows: a. A continuous over-the-counter market means that all the securities in a single trade or transaction are traded, for reasons that are not materially related to other securities, across the entire trading facility; b. An “over-the-counter” price (which is synonymous to an “over-the-counter” price) is an amount of the securities that are sold, bought, or sold within a few seconds after settlement on a public stock exchange, with or without commissions, under an agreed upon transaction value, unless the exchange's rules exclude such a transaction or require that the transaction take place at the market price. (For purposes of this definition, “over-the-counter” means any transaction where the broker's firm or other intermediary controls the trading and holds all knowledge of the underlying securities.) c.
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