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Re: lucky, mydog post# 77503

Tuesday, 04/28/2020 11:39:14 AM

Tuesday, April 28, 2020 11:39:14 AM

Post# of 97092

brokers don't file 211's.



The SEC thinks they do:

"“Furthermore, when an SEC trading suspension ends, a broker-dealer generally may not solicit investors to buy or sell the previously-suspended over-the-counter (“OTC”) stock until certain requirements are met. Before soliciting quotations or resuming quotations in an OTC stock that has been subject to a trading suspension, a broker-dealer must file a Form 211 with the Financial Industry Regulatory Authority (“FINRA”) representing that it has satisfied all applicable requirements, including those of Rule 15c2-11 [ecfr.gov] and FINRA Rule 6432 [finra.complinet.com].”