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New Issue Management Training Materials/Timeline

Firms submit a FINRA New Issue Form in order to comply with FINRA Rules 6760 (Underwriter Obligation to Provide Notice), 6730 (Transaction Reporting), or 6620 (OTCE Symbol Request).  The Issue Management System replaces the existing FINRA New Issue Form and will allow firms to:

  • submit new issues;
  • save draft submissions;
  • make changes and updates to previously submitted issues;
  • submit new issues in bulk via a file upload; and
  • View the status of submissions.


Timeline

Phase Description

Milestone

Expected Timeline

Client Impact

Issue Management

Training Material Available

7/20/2020

Notification, training and user preparation.

Issue Management

Testing

7/20/2020

Client testing offered.

Issue Management

Production

9/28/2020

Clients live with new form interface.

 

Training Materials

FINRA New Issue Form

Current

Web Interface User Guide Version 1.3
Bulk Upload User Guide Version 1.2

 

Demonstration Videos

View the full demonstration video here. Individual segment videos are available below.

 

Segment 1: Introduction

Segment 2: Navigating the Site

 

Segment 3: Filing Grid Functions

Segment 4: Creating a New Issue

 

Segment 5: Editing a Filing and Saving or Deleting a Draft

 

 

 

 

 

 

 

 

 

 


Contacts

If you have questions or concerns, please see the FAQs or contact FINRA Market Operations at (866) 776-0800, Option 2, or email FINRA Operations.