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

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.

The views, expressions, findings and opinions expressed in the comments on this Web page are solely those of the author(s) and FINRA accepts no responsibility for the content of the comments: 
DateCommenterFormat - Size
8/20/2014 N/APDF - 35.34 KB
9/10/2014Scott G. MonsonPDF - 114.38 KB
9/24/2014OTC Markets Group, Inc.PDF - 1.12 MB