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Expert assistance with FINRA Rule 15c2-11 applications, including market maker coordination and comprehensive documentation support.
FINRA Rule 15c2-11 requires market makers to have current information about a company before publishing quotes. Our expertise ensures your application meets all requirements and expedites the approval process for market-making activities.
Complete Form 211 preparation with all required documentation
Facilitate relationships with qualified market makers
Streamlined submission process to minimize delays
A comprehensive overview of the rule, its requirements, and why it's critical for OTC market liquidity.
FINRA Rule 15c2-11 requires broker-dealers to have current information about a company before they can publish quotations for the company's securities in the over-the-counter (OTC) market.
The rule is designed to ensure that investors have access to current and accurate information about companies whose securities are quoted in the OTC market, promoting transparency and investor protection.
Market makers must file Form 211 with FINRA and demonstrate they have reviewed current information about the company before they can begin making a market in the security.
Enables market makers to provide liquidity for your securities
Increases potential for higher trading volumes and investor interest
Ensures current information is available to potential investors
Required for meaningful participation in OTC markets
A step-by-step breakdown of the application process and required documentation.
Collect all required company information and financial statements
Identify and coordinate with qualified market makers
Complete and review Form 211 with all supporting documentation
Submit to FINRA and manage the review process
Established relationships with qualified market makers to facilitate your 15c2-11 application process.
Established firms with strong capital bases and extensive OTC experience
Boutique market makers focused on specific sectors or market segments
Modern firms leveraging technology for efficient market making
Comprehensive support packages to ensure successful 15c2-11 application approval.
Get your 15c2-11 application approved quickly and efficiently with our expert guidance and market maker network.
Start Your Application