Rule 15c211 was designed to provide fully reporting public companies an easier way to have their securities quoted on the National Association of Securities Dealers' Over-the-Counter Bulletin Board (NASD OTC/BB). A company intending to obtain a quotation for its securities is required to file reports with the Securities and Exchange Commission (SEC).
To be eligible, a broker/dealer (also known as a market maker), must file a Form 211 with the NASD, containing the required information to publish a stock quote for a company on the OTC/BB. The company's most recent annual reports, all information relating to the issuer and securities, and further business information is all needed and must comply with the 15c211 filing requirements.
Aspen Management specializes in 15c211 filings. Please contact us for more information or if you have any questions.