Form 211 - This form is used by Market Makers to initiate or resume quotations of a Company's common stock on the OTC Bulletin Board^® Service, the NQB "Pink Sheets^®," or any other similar quotation service. When a Market Maker completes this form, a market maker is representing that it has satisfied all of the applicable requirements of the United States Securities and Exchange Commission (SEC) Rule 15c2-11 and the filing and information requirements of FINRA Rule 6640.

     Some of the requirements to be included in the Form 211 include the following:  a copy of the prospectus specified by Section 10(a) of the Securities Act of 1933 for an issuer that has filed a registration statement under the Securities Act of 1933;  a copy of the offering circular provided for under Regulation A under the Securities Act of 1933 for an issuer that has filed a notification under Regulation A;  acopy of the issuer's most recent annual report filed pursuant to Section 13 or 15(d) of the Act or a copy of the annual statement referred to in Section 12(g)(2)(G)(i) of the Act;  the nature of the issuer's (company's) business; the nature of the company's products or services offered; the nature and extent of the company's facilities;  the name of the company's chief executive officer and members of its board of directors; the issuer's most recent balance sheet and profit and loss and retained earnings statements; similar financial information for such part of the 2 preceding fiscal years as the issuer or its predecessor has been in existence; and whether the broker or dealer or any associated person is affiliated, directly or indirectly with the issuer.

    Under certain conditions the Form 211 application does not have to be filed if certain exemptions apply.  An exemption from the filing of a Form 211 is available to market makers when they are moving from another quotation medium into the OTCBB.