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Golden Cross

01/03/20 11:26 AM

#822 RE: make it happen #821

Wont be any L2 until they get up-listed to the pink sheets
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cableguy

01/03/20 11:42 AM

#823 RE: make it happen #821

They could file a 15-12G to avoid a halt, which they are in danger of, but to be quoted again they need a 211 and a letter from an MM to the SEC.


https://www.finra.org/filing-reporting/otcbb/otcbb-forms-documentation

Form 211
Market Makers must complete this form to initiate or resume quotations in a non-exchange listed security on a quotation medium. By completing this form, a market maker is representing that it has satisfied all applicable requirements of Securities Exchange Act (SEA) Rule 15c2-11 and the filing and information requirements of FINRA Rule 6432. It is not necessary to file this application if an exemption applies.

In order to access the form in Firm Gateway, firm users must ask their Super Account Administrator (SAA) to provide them with either Submit or Read-Only entitlement.

If you have questions regarding the electronic Form 211, please call the OTC Compliance Unit at (240) 386-5100. For assistance with entitlements, contact the FINRA Gateway Call Center at (800) 321-6273.

Access the form. Users will need to log into Firm Gateway, click on the Forms and Filings tab at the top of the page and select Form 211.
Rule Filing: Proposed Rule Change to Implement a New Electronic Form 211
Regulatory Notice 17-26: FINRA Adopts New Electronic Form 211 for Purposes of Compliance with FINRA Rule 6432