Regulatory Notice 14-29

FINRA Requests Comment on a Proposal to Establish a Publicly Accessible Online Repository of Form 211 Information

 

Comment Period Expires: September 2, 2014

Executive Summary

FINRA is soliciting comment on a 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.

 

The proposed rule text is attached as Appendix A. A copy of the Form 211 is attached as Appendix B.

 

Questions regarding this Notice should be directed to Racquel Russell, Associate General Counsel, Office of General Counsel, at (202) 728-8363 or by email.