Certification Forms | FORM 211

Regulation S and Rule 144A depositary receipts are restricted securities and require written certifications from owners depositing shares for issuance of DRs, including pre-releases, or cancelling DRs for withdrawal of shares, or from brokers or dealers doing so on behalf of such owners.

QIBs for Issuances and Cancellations should call 212-815-2231, 315-414-4562 or Dublin 353-1-900-3466.   Inquires can also be sent to drsettlements@bnymellon.com.
QIBs forms for Issuances and Cancellations can be emailed to drinstructions@bnymellon.com

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Form 211

Complete this form to initiate or resume quotations in the OTC Bulletin Board® Service, the National Quotation Bureau (NQB) "Pink Sheets®", or any other comparable quotation medium. By completing this form, your firm is representing that it has satisfied all applicable requirements of Securities and Exchange Commission (SEC) Rule 15c2-11 and the filing and information requirements of NASD Rule 6740. It is not necessary to file this application if a member qualifies for the piggyback or another exception provided by paragraphs (f)(1)-(5) of Rule 15c2-11. File this form with the NASD Regulation, Inc. at least three business days before initiating or resuming the quotation of any OTC (non-Nasdaq) equity security in any quotation medium. This presentation is presented in PDF format and can be viewed using Adobe Acrobat Reader software..

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