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How do I fill this out?
To fill out this form, gather all pertinent information regarding the subject issuer and security. Ensure to demonstrate compliance with the updated requirements of SEC Rule 15c2-11. Submit the necessary forms and information as prescribed.
How to fill out the FINRA Rule 6432 Compliance with SEC Rule 15c2-11 Amendments?
1
Gather pertinent information regarding the subject issuer and security.
2
Ensure compliance with SEC Rule 15c2-11 requirements.
3
Access the modified Form 211 through FINRA Gateway.
4
Fill out the required fields with accurate information.
5
Submit the completed forms by the specified deadline.
Who needs the FINRA Rule 6432 Compliance with SEC Rule 15c2-11 Amendments?
1
FINRA members who need to initiate or resume a quotation in a non-exchange-listed security.
2
Qualified IDQS making a publicly available determination regarding an initial information review.
3
Members relying on the publicly available determination of a Qualified IDQS for quoting.
4
Market Regulation professionals needing to submit daily security files.
5
Compliance officers ensuring adherence to FINRA Rule 6432 and SEC Rule 15c2-11.
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What are the instructions for submitting this form?
Submit the completed Form 211 and daily security file through FINRA Gateway. For legal and interpretive questions, contact Robert McNamee at (202) 728-8012 or robert.mcnamee@finra.org. For questions regarding Form 211 or daily security file submissions, contact Yvonne Huber at (240) 386-5034 or yvonne.huber@finra.org
What are the important dates for this form in 2024 and 2025?
Effective date of amendments: September 28, 2021. Initial daily security file submission deadline: October 12, 2021.
What is the purpose of this form?
The purpose of this form is to ensure compliance with the updated SEC Rule 15c2-11. It requires FINRA members to submit pertinent information regarding issuer and security in a standard form. This process helps maintain transparency and regulatory adherence in financial markets.
Tell me about this form and its components and fields line-by-line.
- 1. Security Symbol: The official trading symbol of the security.
- 2. Issuer Name: The name of the issuer of the security.
- 3. Publicly Available Determination: Type of determination made by the Qualified IDQS.
- 4. Date of Determination: The date on which the determination was made.
- 5. Form 211: Indicates if the security is being quoted pursuant to a processed Form 211.
What happens if I fail to submit this form?
Failure to submit this form can result in non-compliance with regulatory requirements.
- Non-Compliance: May result in regulatory action against the member.
- Trading Restrictions: Could lead to restrictions in trading activities for non-exchange-listed securities.
How do I know when to use this form?
- 1. Initiating Quotation: When a member starts quoting a new non-exchange-listed security.
- 2. Resuming Quotation: When a member resumes quoting an existing non-exchange-listed security.
Frequently Asked Questions
What is FINRA Rule 6432?
FINRA Rule 6432 pertains to compliance with the information requirements of SEC Rule 15c2-11.
Who needs to file Form 211?
FINRA members and Qualified IDQS who initiate or resume a quotation in non-exchange-listed securities need to file Form 211.
How do I submit the daily security file?
Submit the daily security file to FINRA by 6:30:00 p.m. ET on the business day following the Qualified IDQS's publicly available determination.
Where can I find the modified Form 211?
Access the modified Form 211 through FINRA Gateway.
What information is required in the daily security file?
Include security symbol, issuer name, type of publicly available determination, and other specified information.
When do the amendments take effect?
The amendments to Rule 6432 take effect on September 28, 2021.
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Can I share the form with others?
Yes, use PrintFriendly's share feature to send the form via email.
What happens if I fail to submit the form?
Failure to submit the form may result in non-compliance with FINRA and SEC regulations.
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