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WiseYoda

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WiseYoda

Re: ForReal post# 9077

Tuesday, 10/24/2017 5:55:53 PM

Tuesday, October 24, 2017 5:55:53 PM

Post# of 72957
The 15c-211 form is required for many reasons but this is not one of them. The issuer (company) is not required to submit this form to FINRA for a name and ticker symbol change, but the cusip change isn’t done through FINRA but the DTC. The 15c-211 form is used mostly by and between FINRA, market makers, broker dealers, etc.
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