FINRA Requests Comment on Proposal to Establish Publicly Accessible Online Repository of Form 211 Information (FINRA Reg. Notice 14-29)

FINRA announced that it is soliciting comments on a proposal to make a repository of Form 211 filings publicly available through FINRA's website. Firms are required to complete FINRA's Form 211 to demonstrate compliance with the specific information review requirements under Exchange Act Rule 15c2-11 prior to initiating a quotation in a non-exchange-listed security.

Comments must be submitted by September 2, 2014. The text of the proposed rule is attached to the Regulatory Notice.

See: FINRA Reg. Notice 14-29.