Regulatory Notice 11-09

New Electronic System for Submitting and Processing Company-Related Actions for Non-Exchange Listed Securities Under Rule 6490

 

Effective Date: March 14, 2011

Executive Summary

Beginning March 14, 2011, issuers, American Depositary Receipt (ADR) depositary banks and other parties that provide notice of company-related actions to FINRA under Rule 6490 must use a new electronic system to provide such notice to FINRA. As of this effective date, FINRA will no longer accept paper copies of the Company-Related Action Notification Forms.

 

The new electronic Company-Related Action Forms will be available on March 14, 2011, via www.finra.org/upc/forms.

 

The text of FINRA Rule 6490 is available on FINRA’s website.

 

Questions regarding this Notice should be directed to:

  • FINRA Operations at (866) 776-0800, Option 1; or
  • Kosha K. Dalal, Associate Vice President and Associate General Counsel, Office of General Counsel, at (202) 728-6903.