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janice shell

09/25/12 10:30 PM

#114246 RE: joeecm #114233

but it still cannot be said that it is a 100% guarantee.

Yes, it can. If and when an MM agrees to file a Form 211, it will have to be approved by FINRA. FINRA will comment, and the 211 will be amended. That will probably happen more than once.

The process takes months, not days.