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frankie_fillet

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frankie_fillet

Re: None

Tuesday, 08/16/2005 8:39:53 PM

Tuesday, August 16, 2005 8:39:53 PM

Post# of 535
Form 211
SEC Rule 15c2-11 requires that, before a broker or dealer publishes proprietary quotes on a quotation medium, it must gather, review, and retain certain information about the issuer. The market maker must file a Form 211 with the NASD OTC Compliance Unit, along with two copies of the required issuer information. After a successful review, the NASD Compliance Unit will notify the market maker that it may enter a quotation on the Pink Sheets. Form 211 (pdf)

PINKY RHYMES WITH STINKY!

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