No MM will file Form 211 without audited financials in hand, hence the Notice of Late filing, a Co the size of Assurance Group is surely going to extensive. This must have occured to go from grey market status to PS Limited Information!
MMs sponsoring a 211 are TOTALLY and completely liable for the accuracy of the information provided. That liability runs for 6 months during which time they are the only MM able to provide a qualified quote. Plus now there is mandatory Q and A with FINRA where FINRA has the final say on acceptance. AND FULLY AUDITED financials are now required to submit a 211.
Wonder who the sponsering MM would be, it takes $$$ and excellent securities knowledge to come off grey to trading status, wish I cld find out who the sponsering MM was!
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