FINRA Seeks to Make Form 211 Information Publicly Available

Going Public LawyerSecurities Lawyer 101 Blog FINRA is soliciting comment on its proposal to make publicly available through FINRA’s website a repository of Form 211 information. Firms are required to complete FINRA’s Form 211 to demonstrate compliance with the specific information review requirements under SEA Rule 15c2-11 prior to initiating a quotation in a non-exchange-listed security.  Comments to the proposals must be... Read MoreGoing Public Lawyer
http://www.securitieslawyer101.com/finra-seeks-make-form-211-information-publicly-available/