UPC Forms & Documents
Issuers, 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. FINRA no longer accepts paper copies of the Issuer and ADR Company-Related Action Notification Forms. FINRA continues to accept paper copies of the Transfer Agent Verification Form, as it is not a part of the new electronic system. See Regulatory Notice 11-09 and frequently asked questions for more information.
- Electronic Issuer Company-Related Action Notification Form
- Electronic ADR Company-Related Action Notification Form
- Transfer Agent Verification Form (PDF 787 KB)
Please send all Transfer Agent Verification Forms to firstname.lastname@example.org
For any further communications necessary about a dividend, please send an email to: email@example.com.