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Thursday, February 11, 2021 7:02:53 PM
this might help you out some. see part 3 (b)(2)
...here's Part 3 (b)(2) of the Form 211...
Has the Issuer or its predecessor (if any) been subject to a trading suspension order issued by the SEC during the past 12 months? If a trading suspension order has been issued, provide a copy of the order or of the SEC’s public release announcing the trading suspension order.
Check the appropriate box: Trading suspension order or release enclosed. Not applicable
...It's simply asking the MM to provide a copy of the SEC's suspension order. Easy peasy, just tell the MM to follow my link and print it out...
COUV Suspension Order
The entire Form 211 is simply a matter of providing factually verifiable information, e.g. Provide the issuer's most recent annual report and quarterly reports, what is issuer's primary business, etc.
As I said in my post, the MM has no exposure as to whether the company may or will face further enforcement action. The MM simply attests to the accuracy of the information they submit on the 7 page Form 211. If FINRA is aware of any further enforcement action, FINRA will reject the Form 211 application. There is no consequence to the MM if FINRA does so. Why would they care if there's further enforcement action other than the fact that they would have wasted some time investigating and verifying the company's information.
Les
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