15c2-11 Filing Services

Coral Capital Advisors provides assistance to companies seeking to file a 15c2-11 and have their shares become publicly traded on the Over the Counter Market (OTC).

Companies that are seeking to have there shares traded on the OTC Market need to need to have a broker/dealer that will act as a sponsoring market maker file a form 15c2-11 information package with FINRA on their behalf.  This process can be very complicated, and has the potential to be very overwhelming for those without the appropriate securities experience.

In addition to the extensive package of information required by Rule 15c2-11, the company must meet certain structural requirements, as well as undergo a sufficient due diligence review to satisfy the regulatory requirements by FINRA in order to be approved for trading on the OTC Market.

Coral Capital Advisors can help your Company prepare select a broker/dealer to be the sponsoring market maker to file the form 15c2-11 information package with FINRA to allow your Company’s shares become traded on the Over the Counter Market (OTC).  Coral Capital Advisors provides its clients with assistance in preparing the 15c2-11 information package for submission.  Our decades of securities experience allows us to advise our clients on the appropriate corporate structure to be approved for trading; and our significant due diligence experience allows us to assist in preparation of the due diligence review and correct any issues that could potentially be a problem in gaining approval for trading.

Our Latest News & Commentary on the 15c2-11 Process

New Case Study:  Resuming Trading Following a Trading Suspension Coral Capital Advisors has published a new Case Study: Case Study # 10:  Case Study #10:  Resuming Trading on the OTC Following a Trading Halt In this Case Study we take…

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Please feel free to contact us at Coral Capital Partners to see how we could assist your firm in becoming publicly traded on the Over the Counter (OTC) Market.