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Frequently Asked Questions

After a Form 211 is filed, how long until the security can begin quotation on the OTCBB?

Frequently Asked Questions (FAQs)
There is no standard time to process a 211 and clear the market maker to begin quoting a security on the OTCBB. The time it takes to review a 211 may vary significantly depending on many factors including whether or not FINRA has to request additional information from the market maker that submitted the form and upon how long it takes the market maker to respond to requests for additional information.

Do I have to file a Form 211 for a security delisted from NASDAQ?

Frequently Asked Questions (FAQs)
A delisted NASDAQ Issuer that wishes to be quoted on the OTCBB should contact their market makers to request that they complete a Form 211 for review and processing. See Delisting From NASDAQ for more information. Yes. Prior listing on NYSE or AMEX does not exempt a Market Maker from the Form 211 filing requirement.

What is a Form 211?

Frequently Asked Questions (FAQs)
The Form 211 is the form which must be completed and submitted to FINRA OTC Compliance Unit to initiate or resume quotations in the OTCBB, the "Pink Sheets", or any other comparable quotation medium pursuant to SEC Rule 15c2-11. To view or print the Form 211, please visit our Forms Page. A 211 Addendum Form must be submitted in addition to the Form 211 for the OTCBB.

How do I check the status of a Form 211 filing?

Frequently Asked Questions (FAQs)
Contact the FINRA OTC Compliance Unit. Please note that the Form 211 review process is proprietary and, thus, FINRA will only discuss details of the filing or review directly with the firm that submitted the Form 211.

Do financials submitted with the Form 211 have to be audited?

Frequently Asked Questions (FAQs)
Yes, the periodic reporting requirements under NASD Rule 6530 require annual audits of an OTCBB issuer's financial statements. However, current NASD rules do not require the financial statements of Pink Sheet issuers to be audited, but they should be prepared in accordance with GAAP or, for foreign issuers, in accordance with their home country's accounting standards.

Can a security be traded on the OTCBB and NASDAQ? at the same time?

Frequently Asked Questions (FAQs)
No. The OTCBB is a quotation service for securities which are not listed or traded on NASDAQ or a national securities exchange. Stock markets (including NASDAQ and the registered exchanges, such as NYSE or AMEX) have specific quantitative and qualitative listing and maintenance standards, which are stringently monitored and enforced.

How many market makers are required for a security to be on the OTCBB?

Frequently Asked Questions (FAQs)
A minimum of one market maker is needed. Instructions on how to get a list of market makers are above.

What does a fifth character "E" indicate for an OTCBB security?

Frequently Asked Questions (FAQs)
The fifth character "E" on an OTCBB trading symbol indicates that NASDAQ does not have information which demonstrates that the issuer of the security is compliant with the filing requirements of Rule 6530, either because the issuer is delinquent in the required filings, has filed an incomplete filing, or, for non-EDGAR filers, because NASDAQ has not been provided a copy of the most recent filing.

How does FINRA determine whether an OTCBB issuer's periodic financial report was filed timely?

Frequently Asked Questions (FAQs)
For the purpose of determining the extent to which an issuer has filed its periodic financial reports in a timely fashion or has filed its periodic financial reports within the applicable grace period (in the case of an issuer that did not meet the initial filing deadline), the periodic financial report in question must have been received and time stamped by the Commission's EDGAR system no later than 5:30 p.m. EST on the day the report was due or the last day of the applicable grace period.

What is the so-called tax Form 211?

Aliaga Legal - News Updates
This form is a document which contains all the details regarding the fiscal retention that is enforced against the price of sale that is received upon the sale of a property and when the vendor of the property is not a fiscal resident in Spain. From the 12st January 2007, the retention to be made when a vendor is a non resident amounts to 3% of the total value of the property. Prior to the 1st January 2007, the said retention amounted to 5% of the price of sale of the property.

How long will it take to get a quotation?

FAQ Non Customers, Insurance
If you call us for a quotation, we can usually give you a price in about 10-15 minutes. Just call 0800 083 2060. Alternatively, you can use our online quotation facility - simply fill in all your risk details and we will call you back at a time to suit you with your quotation.

Where is Form FMC-1 located and how is it filed?

Frequently Asked Questions - Federal Maritime Commission
Form FMC-1 is located on the Commission’s website, www.fmc.gov. The form is available electronically and filed http://www.fmc.gov,interactively by clicking on Tariff Registration Form (FMC-1), Click Here to Proceed on the Disclaimer screen, File an Initial FMC-1 Form button and completely filling-in information on the form. When you have finished click Save and Exit to transmit the Form FMC-1 filing to the FMC.

How long will it take before I begin to notice results?

Flexcin.com
Typically Flexcin takes about 3 to 6 weeks to start to notice results. We suggest that you start with a 2-month supply.

How long does it take to for my claim to be filed for FSA's?

Once you send in your reimbursement claim, flexible spending account reimbursements can be expected from our Flex Administrator within 1-2 weeks.

How long will it take to get a written quotation?

FAQs
A quotation for a single site ISO 9001 registration can usually be obtained within a day. A complex or multi-site registration quotation may require two or three days. For a free quote you can submit your company information via our instaquote.

How long is my quotation valid for?

Period living, wrought iron accessories, UK
Quotations are valid for 14 days from date given, quotations are given for complete orders as detailed. If only part of the goods in the quotation are required this will affect any discounts given.
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