Form 211 definition

Form 211 means the form with the same name, which is filed with FINRA by broker-dealers representing that all applicable requirements of Rule 15c2-11 under the Exchange Act and the filing and information requirements of FINRA Rule 6740 have been satisfied.
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Form 211 means the form that is filed with FINRA by broker-dealers in accordance with FINRA Rule 6740.
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Form 211 has the meaning set forth in Section 3.17(b).
Sample 1

Examples of Form 211 in a sentence

  • In order to obtain a trading symbol and authorization to have our common stock trade publicly, we must file an application on Form 211 with, and receive the approval by, the Financial Industry Regulatory Authority ("FINRA"), of which there is no assurance, before active trading of our common stock could commence.

  • On June 28, 2016, the Financial Industry Regulatory Authority of the United States cleared the Company’s Form 211 application for a quotation on OTC Link, and as such, the common shares of the Company now trade under the US symbol “HLLPF".

  • In order to obtain a trading symbol and authorization to have the Company’s securities trade publicly, the Company must file an application on Form 211 with, and receive the approval by, the Financial Industry Regulatory Authority (“FINRA”) of which there is no assurance, before active trading of the Company’s securities could commence.

  • Form 211 and our prospectus are filed with FINRA so that they can determine if there is sufficient publicly available information about us and whether our shares should be listed for trading.We can provide no assurance that our shares will be traded on the bulletin board or, if traded, that a public market will materialize.

  • The OTC Bulletin Board has cleared the Form 211 filed by Parent pursuant to Rule 15c2-11(a)(5) of the Exchange Act.

  • A market maker (the “Market Maker”) reasonably acceptable to the Representative has submitted a Form 211 to the OTC Compliance Unit and the Company will cooperate with the Representative to receive approval as expeditiously as possible for the quotation of the Securities on the Over-the-Counter Bulletin Board (“OTC Bulletin Board”) administered by FINRA.

  • The Company reserves the right to include up to 1,000,000 shares of its common stock held by the Company’s pre merger stockholders based upon comments from the Financial Industry Regulatory Authority concerning the Company’s Form 211.

  • Per Form 2.1-1, “Examination Preparation Checklist” target due dates are provided and can be adjusted as necessary to accommodate a given situation.

  • A revision to Form 211, Application for Award for Original Information,7 accompanied this notice.

  • We combine the activities into a factor and standardize it to have mean zero standard deviation one.

Related to Form 211

  • Form 2106 means internal revenue service form 2106 filed by a taxpayer pursuant to the Internal Revenue Code.

  • Quarterly Reports shall have the meaning assigned in Article 6.

  • Quarterly Report means Servicer’s report to me that includes, among other information, the results of the IRG’s Compliance Reviews for the calendar quarter covered by the report, as required by Paragraph D.1 of Exhibit E;

  • Electronic Data means information, facts or programs stored as or on, created or used on, or transmitted to or from computer software, including systems and applications software, hard or floppy disks, CD-ROMS, tapes, drives, cells, data processing devices or any other media which are used with electronically controlled equipment.

  • Form N-2 means such form under the Securities Act as in effect on the date hereof or any successor registration form under the Securities Act subsequently adopted by the Commission.

  • Registration Application means an application for registration of this Agreement as a planning agreement on the title of the Land pursuant to Section 7.6 of the Act in a form approved by the Registrar General;

  • Short Form Notice means the Short Form Notice substantially in the form as

  • Form 10-Q is defined in Section 7.1(a).

  • SEC means the Securities and Exchange Commission.

  • Form 10-K is defined in Section 7.1(b).

  • NASD means the National Association of Securities Dealers, Inc.

  • Securities and Exchange Commission means the United States Securities and Exchange Commission.

  • Form 4224 means Form 4224 (Exemption from Withholding of Tax on Income Effectively Connected with the Conduct of a Trade or Business in the United States) of the Department of the Treasury of the United States of America (or in relation to either such Form such successor and related forms as may from time to time be adopted by the relevant taxing authorities of the United States of America to document a claim to which such Form relates).

  • L/C Application means an application and agreement for the issuance or amendment of a Letter of Credit in the form from time to time in use by the L/C Issuer.

  • Schedule TO shall have the meaning set forth in Section 2.1(b).

  • Form F-1 means such form under the Securities Act as in effect on the date hereof or any successor registration form under the Securities Act subsequently adopted by the SEC.

  • Rapidly report means within 72 hours of discovery of any cyber incident.

  • Form 10 means the registration statement on Form 10 filed by SpinCo with the SEC to effect the registration of SpinCo Shares pursuant to the Exchange Act in connection with the Distribution, as such registration statement may be amended or supplemented from time to time prior to the Distribution.

  • Form S-1 shall have the meaning given in subsection 2.1.1.

  • (14A) domestic support obligation’ means a

  • Quarterly reporting period means the three-month period covered by each

  • securities dealer means a person or entity that is authorized under provincial legislation to engage in the business of dealing in securities or any other financial instruments or to provide portfolio management or investment advising services.

  • Rapid(ly) report(ing means within 72 hours of discovery of any cyber incident.

  • Electronic Data Room means the electronic data room established by or on behalf of Seller with respect to the Acquired Companies, as the same exists as of the date of this Agreement.

  • Form F-1 Shelf shall have the meaning given in Section 2.1.1.

  • Public data means the objective, factual data on which policy decisions are based and on which public services are assessed, or which is collected or generated in the course of public service delivery.