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OMOLIVES

02/18/24 9:07 PM

#7188 RE: Biotechotcguy #7187

Here:

https://www.finra.org/filing-reporting/over-the-counter-reporting-facility-orf/form-211

And here:

Even when the company seeking to go public has filed a Form S-1 or Form 10 registration statement with the Securities and Exchange Commission (“SEC”), a market maker must file a Form 211 pursuant to Rule 15c-211 with the Finance Industry Regulatory Authority (“FINRA”).



Also:

For issuers that plan to list on an exchange, the process is slightly different; with NASDAQ, oddly enough, reservation of a ticker, which is done with the exchange, is the first step.




https://www.securitieslawyer101.com/2018/sponsoring-market-maker-211-15c-211/

OMOLIVES

02/18/24 11:01 PM

#7189 RE: Biotechotcguy #7187

Actually, the Company does not file it(211), the market makers do...after being solicited(or similar)...by Company...or similar.