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janice shell

07/27/17 3:12 PM

#62201 RE: ncpti #62200

Yes, that's what needs to be done. But that's not easy. When stocks have been suspended for cause, MMs tend not to be interested in filing new Forms 211 for them, because by doing do, the MM accepts some liability. Since he doesn't get paid for the work, there's really no upside in it for him.

And even when an MM agrees, there's no guarantee of success. FINRA has the last word:

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