OTCBB Forms & Documentation

• Form 211 (PDF 78 KB )
  Market Makers must complete this form to initiate or resume quotations on the OTC Bulletin Board™ or any other comparable quotation medium. By completing this form, a market maker is representing that it has satisfied all applicable requirements of Securities and Exchange Commission (SEC) 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.


• 15c2-11 Exemption Request Form – "Piggyback Exemption" (PDF 42 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. 
  
  

http://www.finra.org/Industry/Compliance/Mark...BB/P126017