15c2-11 ApplicationBroker Dealer Registration RequirementsFINRAFINRA ComplianceFINRA RulesOTC MarketOTC Markets Listing RequirementsOTC PinkOTC Pink Listing RequirementsOTCQBOTCQB Listing RequirementsOTCQXOTCQX Listing Requirements OTC Markets Issues Comment Letters On FINRA Rules 6432 And 5250; The 15c2-11 Rules Laura Anthony, Esq.March 20, 2018 January 8, 2018, OTC Markets Group, Inc. (“OTC Markets”) submitted a comment letter to FINRA related to FINRA Rule 6432. Rule 6432... 03.6K00
15c2-11 ApplicationFINRAFINRA ComplianceFINRA RulesOTCBBSEC FINRA Proposes Expansion Of The OTCBB Laura Anthony, Esq.August 29, 2017 In August 2016, FINRA quietly requested comment on a proposal to expand the now largely dormant OTC Bulletin Board quotation service... 052000
15c2-11 ApplicationCrowdfundingFINRAFunding PortalsIntrastate OfferingJOBS ACT and CrowdfundingRule 147SEC Rule 15c2-11Section 3(a)(11) State Crowdfunding Using Intrastate Offerings and Rule 147 Laura Anthony, Esq.September 10, 2013 051700
15c2-11 ApplicationOTC MarketOTCBBOTCQB and OTCQXOTCQXPinksheetsSEC Rule 15c2-11Securities Attorneys OTC Market Group Has Modified Its Alternative Reporting Standard Laura Anthony, Esq.June 11, 2013 058400
15c2-11 ApplicationFINRAOTC MarketS-1 Registration StatementSEC Rule 15c2-11Securities Attorneys SEC Suspends Trading On 61 Shell Companies Laura Anthony, Esq.June 3, 2013 037400
15c2-11 ApplicationDue DiligenceFINRAOTC MarketOTCBBOTCQBOTCQB and OTCQXOTCQXPinksheetsPrivate Investment in Public Equity (PIPE)S-1 Registration StatementSEC Rule 15c2-11Securities Attorneys The OTCQX And OTCQB Are Finally Recognized As “Established Public Markets” By The SEC Laura Anthony, Esq.May 29, 2013 049500
15c2-11 ApplicationOTC MarketOTCBBPinksheetsSEC Rule 15c2-11Securities AttorneysSmall Cap Market OTC Market Groups Has Modified Its Alternative Reporting Standard Effective January 3, 2013 Laura Anthony, Esq.January 4, 2013 039000
15c2-11 ApplicationCrowdfundingFINRAJOBS ACTOTC MarketPublic Shell CompanyReverse MergersSEC GuidanceSEC Rule 15c2-11Securities AttorneysUncategorized SEC Suspends Trading for Record Number of Shell Companies Laura Anthony, Esq.May 14, 2012 The Securities and Exchange Commission (SEC) today suspended the trading in 379 dormant shell companies. This is the most trading s... 049200
15c2-11 ApplicationDTC ChillDTC EligibilityFINRAForm 10Going PublicPrivate PlacementRule 144Rule 419SEC Rule 15c2-11Small Cap Market Why Rule 419 Companies May Revitalize the Small-Cap Market Laura Anthony, Esq.November 16, 2011 Are Rule 419 Companies poised to be the next big thing in the small-cap sector? Recently, the small-cap and reverse merger market... 049700