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Kapone

11/13/06 2:03 PM

#40394 RE: greedfl #40393

sigh..this is for an initial listing on the OTC BB and we're not going there as such...
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Dthomas

11/13/06 2:03 PM

#40395 RE: greedfl #40393

Is there anyway to see if the company has filed this form already and where it is in the application process?
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Phisherman

11/13/06 2:05 PM

#40397 RE: greedfl #40393

6740. Submission of Rule 15c2-11 Information on Non-Nasdaq Securities
(a) Except as provided in SEC Rule 15c2-11(f)(1), (2), (3), and (5) and 15c2-11(h) under the Act, no membershall initiate or resume the quotation of a non-Nasdaq security in any quotation medium unless the member hasdemonstrated compliance with this rule and the applicable requirements for information maintenance under Rule15c2-11. A member shall demonstrate compliance by making a filing with, and in the form required by, [theAssociation] NASD, which filing must be received at least THREE business days before the member’s quotation is published or displayed in the quotation medium.