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janice shell

03/06/18 8:13 PM

#36670 RE: KeepItRealistic #36647

Where does it say that ?

In the second sentence:

By completing this form, your firm is representing that it has satisfied all applicable requirements of Rule 15c2-11...

"Your firm" would be a broker-dealer firm. An MM. Not the issuer; if that's what was meant, that's what it would say. FINRA does not, in most matters have jurisdiction of penny stock issuers; only of broker-dealers.

https://www.finra.org/sites/default/files/p126234.pdf