FINRA Corporate Actions Requests
FINRA Corporate Actions Requests help ensure that important changes to a company’s securities—such as stock splits, mergers, name changes, or symbol updates—are accurately reviewed and communicated to the marketplace. Through FINRA’s review process, issuers and their agents can submit required documentation that supports transparent, orderly trading and keeps investors properly informed. This resource page provides guidance on submission requirements, timelines, and best practices for navigating FINRA’s corporate action procedures.
FINRA Rule 6490 authorizes the Financial Industry Regulatory Authority (FINRA) to review, delay, or refuse to process corporate actions for companies whose securities are quoted on the Over-the-Counter (OTC) markets. The rule protects investors and m…
Read MoreCorporate actions can range from making a change to a company’s name to issuing a dividend or restructuring the company through a merger or bankruptcy. The corporate action typically aims to influence a company’s stock value and shareholder rights. I…
Read MoreCorporate actions , including name changes, stock splits , mergers, and symbol changes, are crucial for maintaining accurate market information for investors trading on the OTC Markets. These actions are regulated primarily by FINRA under Rule 6490 a…
Read MoreYou can explore additional resources on FINRA Corporate Actions Requests and FINRA Rule 6490 in the sections below.
