OTCBB Forms & Documentation
Users will need to log into FINRA Gateway, click on the Forms and Filings quick link and then select Form 211 in the new window.
Market Makers must comply with the requirements of Rule 15c2-11 of the Securities Exchange Act of 1934 when initiating or resuming quotations in a quotation medium or making a publicly available determination pursuant to 15c2-11(a)(2) if a qualified IDQS, in an OTC security. Pursuant to FINRA Rule 6432, a firm including a Qualified IDQS must complete and submit a Form 211 to FINRA to demonstrate compliance. It is not necessary to file this application if an exemption applies.
In order to access the form in FINRA Gateway, firm users must ask their Super Account Administrator (SAA) to provide them with either Submit or Read-Only entitlement.
If you have questions regarding the electronic Form 211, please call the OTC Compliance Unit at (240) 386-5100. For assistance with entitlements, contact the FINRA Gateway Call Center at (800) 321-6273.
- Regulatory Notice 21-33: FINRA Adopts Amendments to Rule 6432 Regarding Compliance With the Information Requirements of SEC Rule 15c2-11
- Regulatory Notice 17-26: FINRA Adopts New Electronic Form 211 for Purposes of Compliance with FINRA Rule 6432
- Rule Filing: Proposed Rule Change to Implement a New Electronic Form 211
Rule 15c2-11 Exemption Request Form
An exemption from the filing of a Form 211 is available to market makers when they are moving from another quotation medium into the OTCBB. The 5 principle conditions which must be satisfied in order to use this exception are described in the Rule 15c2-11 Exemptions.
OTC Equity Symbol Request Form
The OTC Equity Symbol Request Form (FINRA New Issue Form) is available on the FINRA Gateway. New Users should contact their Super Account Administrators (SAA) for a User ID and initial Password. Please submit your request using the following link:
If you have any questions on completing the OTC Equity Symbol Request Form, please contact FINRA Market Operations at (866) 776-0800. For Technical or Entitlement support, call the FINRA Gateway Call Center at (301) 869-6699.