Consultation Services

Consultation

Consultation Services

Castle Brick International offers consultative services when applying for a CUSIP number, the resumption of trading under SEC Rule 15C-211, and applications for new listings.

CUSIP Application

A CUSIP (Committee on Uniform Securities Identification Procedures) number is used to distinguish almost all financial instruments, such as stock in all registered companies and government and municipal bonds in the United States.

The CUSIP system (previously known as CUSIP Global Services) belongs to the American Bankers Association and is administered by S&P Global Ratings (formerly Standard & Poor's). It facilitates the clearance and settlement of securities.

Castle Brick International helps to make sure that the process runs without a hitch and that custodians and sub-custodians are able to effortlessly communicate about and arrange the completion of their CUSIP applications.

SEC Rule 15c-211

SEC Rule 15c-211 enables broker-dealers to start or recommence trading on OTC (Over-the-Counter) holdings that are not listed on the national exchanges by completing and filing Form 211 to the Financial Industry Regulatory Authority (FINRA). The form will initially be completed by the broker-dealer together with the Addendum Form and then undergo a review procedure. The review will generate a series of questions and comments which Castle Brick International will respond to on your behalf.

New Listing Applications

The process for listing stock for the first time on a national exchange can be a long-winded and complicated process lasting many months. Castle Brick International will help you through that process, simplifying wherever possible, in accordance with the SEC requirements, which are detailed and must be followed explicitly.

Please contact us directly for more detailed information about any specific requirements you may have.

We can help you focus on your business

If you’re being weighed down by the burden of complying with ever-changing regulations, Castle Brick International governance counseling can lighten the load and enable your board to focus on your business

Contact Us