Market Makers

Form 15c211, also known as Form 211, is the filing form a broker/dealer (who is also a market maker) must provide containing the information necessary to publish a stock quote for a company on the Over-The-Counter Bulletin Board (OTCBB) or The Pink Sheets.

In order for the quotation to be published, disclosure information about the issuer of stock must be available. If trading on the OTCBB, the issuer also must comply with filing requirements and have their recent annual report in their records. Also, the broker/dealer must have all of the information relating to the issuer, its securities, and further business information on record.

Our firm specializes in 15c211 filings, and we are available to assist you if you have any questions about the process.

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