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RULE 15c2-11 EXEMPTION REQUEST FORM General Instructions Complete this form to enter quotations in the OTC Bulletin Board TM for a security that satisfies the principal conditions required for this

How to fill out rule 15c2-11 exemption request

How to fill out rule 15c2-11 exemption request:

1. Gather all necessary information and documents required for the exemption request, such as the company's name, address, and contact information, along with financial statements, business description, and any related disclosures.
2. Review and understand the requirements outlined in rule 15c2-11 to ensure compliance with the specific criteria for obtaining an exemption.
3. Complete the exemption request form, typically provided by the relevant regulatory authority, ensuring all sections are accurately filled out. This may include providing details on the company's history, current operations, financial condition, and any relevant affiliations or relationships.
4. Attach all required supporting documents to the exemption request form, including financial statements, business plans, contracts, and any other relevant information requested by the regulatory authority.
5. Double-check all information provided, ensuring its accuracy and completeness. Consider seeking legal or professional advice to ensure the exemption request meets all necessary requirements.

Who needs rule 15c2-11 exemption request:

1. Companies seeking to list their securities on Over-the-Counter markets (OTC) and do not meet the criteria for an already established exemption.
2. Securities brokers or market makers who want to initiate or resume quotations for the securities of a company that does not meet the criteria for the available exemptions.
3. Companies that previously had their securities quoted on an OTC market but were subsequently delisted and are now seeking to have their securities quoted again.

It is important to consult with legal or financial professionals to determine if and when an exemption request is needed and to ensure compliance with the relevant regulations.

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What is rule 15c2-11 exemption request?

Rule 15c2-11 exemption request is a filing made to the U.S. Securities and Exchange Commission (SEC) by a broker-dealer to request an exemption from certain requirements of Rule 15c2-11.

Who is required to file rule 15c2-11 exemption request?

Broker-dealers who wish to initiate or resume quotations for certain over-the-counter (OTC) securities are required to file a rule 15c2-11 exemption request.

How to fill out rule 15c2-11 exemption request?

To fill out a rule 15c2-11 exemption request, the broker-dealer must provide specific information about the security, the issuer, and the broker-dealer's relationship with the issuer, as outlined in the SEC's regulations.

What is the purpose of rule 15c2-11 exemption request?

The purpose of a rule 15c2-11 exemption request is to demonstrate to the SEC that the broker-dealer has satisfied certain conditions and can responsibly make markets in certain OTC securities.

What information must be reported on rule 15c2-11 exemption request?

The rule 15c2-11 exemption request must include information about the security, such as its name, trading symbol, and type, as well as information about the issuer and the broker-dealer's relationship with the issuer.