Issuer Services

15c2-11 Filing & Market Making

Do you want to establish a market for your security? We make markets for OTCQX, OTCQB and OTC Pink issuers and are one of the industry leaders in filing 211 applications with FINRA. As a Market Maker, Alpine is qualified to file form 211 under FINRA rule 15(C)2-11 to allow a company’s securities to trade in the public markets.

Contact Alpine’s Trading department at (801)320-1335 or HouseAccounts@alpine-securities.com

*DISCLAIMER: This is not a pre-approval for any 15c2-11 application. All 15c2-11 applications are subject to due diligence and approval from Alpine.

Certificate Clearing

Alpine is one the industry leaders for clearing OTC stock and is committed to ensuring all investors and shareholders have a place to deposit their shares. Let Alpine’s experience team guide you through the process. These services include:

  • 10b-5 plans for corporate insiders.
  • 144 restricted stock sales for officers, directors and affiliates.
  • Physical certificate, DWAC, DRS and ACAT clearance for all shareholders.
  • Contact Alpine’s team at (801)320-1329 or HouseAccounts@alpine-securities.com

*DISCLAIMER: This does not constitute clearance on any security and in no way is an offer to buy/sell any security. All deposits (OTC & Listed) are subject to compliance review. Alpine reserves the right to refuse any deposit, purchase or sale or securities for any reason.

DTC Application & Submission

The DTC application process can be complicated, let our seasoned team assist you with the process. Alpine’s team is well versed in the DTC submission process.

Contact Alpine’s Trading department at (801)320-1335 or HouseAccounts@alpine-securities.com

*DISCLAIMER: This is not a pre-approval for any DTC application. All DTC applications are subject to due diligence and approval from Alpine.