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Non-Tech : Market Makers - What They Do and How They Do It
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To: jjs_ynot who wrote (42)1/18/1999 1:18:00 PM
From: Hawkmoon   of 429
 
Are the 15c2-11 forms that have been filed by Market Makers available to the general public?

Dave,

I don't think so. Of course they may be available through request to Nasdaq OTC compliance in Silver Spring, MD (forget the number).

I just know that it is the responsibility of the Mmkr to fill out a 15c2-11 based upon information that the company provides to them. And I understand that it is a long and arduous form to fill out (some 15 pages or more.)

And then that application has to be approved by Nasdaq OTC compliance for permission to initiate a market in the stock.

Regards,

Ron
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