Form 211 definition

Form 211 means the form with the same name, which is filed with FINRA by broker-dealers representing that all applicable requirements of Rule 15c2-11 under the Exchange Act and the filing and information requirements of FINRA Rule 6740 have been satisfied.
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Form 211 means the form that is filed with FINRA by broker-dealers in accordance with FINRA Rule 6740.
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Form 211 has the meaning set forth in Section 3.17(b).
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Examples of Form 211 in a sentence

  • The OTC Bulletin Board has cleared the Form 211 filed by Parent pursuant to Rule 15c2-11(a)(5) of the Exchange Act.

  • A market maker (the “Market Maker”) reasonably acceptable to the Representative has submitted a Form 211 to the OTC Compliance Unit and the Company will cooperate with the Representative to receive approval as expeditiously as possible for the quotation of the Securities on the Over-the-Counter Bulletin Board (“OTC Bulletin Board”) administered by FINRA.

  • The Company reserves the right to include up to 1,000,000 shares of its common stock held by the Company’s pre merger stockholders based upon comments from the Financial Industry Regulatory Authority concerning the Company’s Form 211.

  • The Company hereby agrees to use its best efforts to maintain the listing of the Common Stock on a Principal Market, including pursuing the clearance of all SEC staff comments on its Form 10-SB, and causing its market maker to file a new or revised Form 211 if necessary, and as soon as reasonably practicable following the Closing to list the Conversion Shares and the Warrant Shares on the Principal Market.

  • The Company shall have an effective Form 211 under Rule 15(c)2-11 under the Securities Exchange Act of 1934 on file with the NASD at all times.

  • Company shall file the necessary Form 211 so as to list the Company's shares on the OTC Bulletin Board or other exchange.

  • The Purchasers will have good and marketable title to the Shares upon receipt of such Shares, and such Shares will be freely tradable on the “Trading Market” (which, for purposes of this Agreement shall mean the OTC Bulletin Board or the OTCQB), upon approval by FINRA of the Form 211 filed on behalf of the Company.

  • The Form 10 automatically became effective on November 25, 2007 (60 days after filing) despite the fact that the Borrower has not finished responding to all of the Commission’s comments; and the Form 211 will not become effective until the submitting broker dealer is finished responding to the comments of FINRA.

  • Following the approval of the Commission of the Borrower’s Registration Statement on Form 10 (hereinafter described in Section 3 below) and the approval after final review of the Financial Industry Regulatory Authority (“FINRA”) to the Form 211 application of a registered broker dealer for the commencement of trading, the Borrower expects that its Common Stock will be approved for trading on the OTCBB Market.

  • Parent has taken all steps required to qualify shares of common stock of Parent, par value $0.001 (“Parent Common Stock”), to become quoted on the OTCBB under the corporate name and symbol described in Section 8.3(i), including filing of Form 211, and submission of all materials required by the OTC Bulletin Board for such quotation.

Related to Form 211

  • Form 2106 means internal revenue service form 2106 filed by a taxpayer pursuant to the Internal Revenue Code.

  • Quarterly Reports shall have the meaning assigned in Article 6.

  • Quarterly Report has the meaning set forth in Section 5.02.

  • Listing Statement means this listing statement of the Corporation, including the schedules hereto, prepared in support of the listing of the Common Shares on the CSE.

  • Electronic Data means information, facts or programs stored as or on, created or used on, or transmitted to or from computer software, including systems and applications software, hard or floppy disks, CD-ROMS, tapes, drives, cells, data processing devices or any other media which are used with electronically controlled equipment.