To: mrNetVestor who wrote (7310 ) 12/21/1998 11:49:00 AM From: ztect Respond to of 40688
Thanks...what language is that written in? Looks like English...but I'm not sure <ggg> Cut and pasted the below to give some overview of what the form 15c211 contains. There is one additional very convoluted part of paragraph A, that I didn't attempt to copy, that looks like it requires an annual report which, in turn, looks like financial reports have been made in one form or another as part of the filing of the 15c211, but that the requirements for these financial filings aren't as stringent as what is required for a 10-sb or 10-q. Some body please correct me if I'm wrong. Thanks again mrNV. Sincerely, z ========================= The information required pursuant to this paragraph is: 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 and was authorized to commence the offering less than 40 calendar days prior to the day on which such broker or dealer publishes or submits the quotation to the quotation medium, The following information, which shall be reasonably current in relation to the day the quotation is submitted and which the broker or dealer shall make reasonably available upon request to any person expressing an interest in a proposed transaction in the security with such broker or dealer: the exact name of the issuer and its predecessor (if any); the address of its principal executive offices; the state of incorporation, if it is a corporation; the exact title and class of the security; the par or stated value of the security; the number of shares or total amount of the securities outstanding as of the end of the issuer's most recent fiscal year;the name and address of the transfer agent; the nature of the issuer's business; the nature of products or services offered; the nature and extent of the issuer's facilities; the name of the chief executive officer and members of the 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; whether the broker or dealer or any associated person is affiliated, directly or indirectly with the issuer; whether the quotation is being published or submitted on behalf of any other broker or dealer, and, if so, the name of such broker or dealer; and whether the quotation is being submitted or published directly or indirectly on behalf of the issuer, or any director, officer or any person, directly or indirectly the beneficial owner of more than 10 percent of the outstanding units or shares of any equity security of the issuer, and, if so, the name of such person, and the basis for any exemption under the federal securities laws for any sales of such securities on behalf of such person