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Filing a 15c211 requires more than simply sending a form to the NASD. Current regulations require the broker-dealer submitting a Form 211 to gather, analyze and maintain current financial and operational information relating to the issuing company. The process is an interactive one with NASD, and requires a significant time commitment on part of both the broker-dealing submitting the 211 and the issuer wishing to become quoted. Spartan Securities works diligently with its client companies to obtain a symbol and quote in the most timely and efficient manner. Our staff knows the process, and we would welcome the opportunity to assist you and your organization in its listing process. Please feel free to contact us at your earliest convenience to discuss how we can help: Micah Eldred Email: Micah@spartansecurities.com |
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Copyright 2006 © Spartan Securities Group Ltd., All rights reserved As a member of the Securities Investor Protection Corporation (SIPC) funds are available to meet customer claims up to a maximum of $500,000 in cash and securities with a $100,000 cash maximum. Additionally, our clearing firm holds Excess SIPC Insurance of $200,000,000 in the aggregate, over all customer accounts, subject to a maximum limit of $900,000 per Customer in respect to cash. This "Excess SIPC" protection is in addition to the protection provided by the Securities and Investors Protection Act, which is administered by SIPC and is subject to certain conditions and limitations, details of which are available upon request. Note SIPC and Excess SIPC provide coverage against loss of securities and cash, not against market depreciation, fluctuation in market value of your securities or a trading loss. |
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