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Tuesday, November 09, 2021 7:23:37 PM
What does it mean? It means the old Form 211 is not being valid anymore due to the SEC Rules 15c2-11 amendments and now SEC filers will be able to get Form 211 being accepted a lot easier by FINRA. Now after Sep 28th IDQS has to file new version of Form 211 through FINRA gateway,
There were arguments about SEC and FINRA overstepping each others boundaries and FINRA taking matters on its own hand while SEC filers were having hard time gettin form 211 being processed. These new changes/amendments will make it a lot easier for Sec filers to get an access to solicited quotations.
Link: https://www.sec.gov/rules/final/2020/33-10842.pdf 250 pages
Link: https://www.finra.org/rules-guidance/notices/21-33 Read through last paragraph!!!
FINRA adopted amendments to Rule 6432 (Compliance with the Information Requirements of SEA Rule 15c2-11)1 in light of the Securities and Exchange Commission’s (SEC) amendments to SEC Rule 15c2-11 (SEC Rule 15c2-11
The amendments to Rule 6432 will take effect on September 28, 2021—in line with the compliance date for the amendments to SEC Rule 15c2-11.
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