Glendale Securities, Inc. - Form 211 Filing for OTCBB and Pink Sheet Companies

Form 211 Filings for OTCBB, OTCQB, and Pink Sheet Companies

Need to deposit physical stock certificates? We can help.

SEC Rule 15c2-11
Rule 15c2-11 covers the requirements necessary for the initiation or resumption of electronic quotation of securities in the OTC Markets. FINRA is the regulator responsible for the OTC Markets including the OTCBB and Pink Sheets. Pursuant to SEC Rule 15c2-11, a Market Maker must file Form 211 with FINRA.

Form 211
Form 211 provides the basic information regarding the company. In order to fully comply with Rule 15c2-11 there are many more items that need to be provided to the Market Maker. There are also some minimums that are important to note.

Minimum Qualification Test

At least 30 Shareholders with free trading shares
At least 1 million shares outstanding
At least 250,000 free trading shares

Companies that meet this initial test can contact Eric Flesche at 818-907-1505 ext. 201 for more details.


Contact Us \| Privacy Statement \| Day Trading \| SEC Rule 605 & 606 \| Site Map \| Margin Disclosure Statement
Business Continuity Plan \| Options Disclosure Statement \| Customer Identification \| Penny Stock Disclosure

System response and access times may vary due to market conditions, system performance, and other factors. Non-U.S. residents may be subject to country-specific restrictions. Options involve risk and are not suitable for all investors. This is not an offer or solicitation for brokerage services, investment advisory services, or other products or services in any jurisdiction where we are not authorized to do business or where such offer or solicitation would be contrary to the securities laws or other local laws and regulations of that jurisdiction. View Registered Jurisdictions.
Copyright © Glendale Securities, Inc., 2011. All Rights Reserved. Member NASD and SIPC.