OTCBB Forms & Documentation

Form 211

Market Makers must complete this form to initiate or resume quotations in a non-exchange listed security on a quotation medium. By completing this form, a market maker is representing that it has satisfied all applicable requirements of Securities Exchange Act (SEA) Rule 15c2-11 and the filing and information requirements of FINRA Rule 6432. It is not necessary to file this application if an exemption applies.

In order to access the form in Firm 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.

Rule 15c2-11 Exemption Request Form

  • 15c2-11 Exemption Request Form - "Piggyback Exemption" (PDF 38 KB)
    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. 

Specifications