Issuer Company-Related Action Notification Form and ADR Company-Related Action Notification Form
Instructions for Completion and Submission
The Issuer and ADR Company-Related Action Notification Forms are available through an electronic notification system. FINRA does not accept paper, email or facsimile copies of this form. The electronic notification system allows payment by credit card or ACH. To submit a company-related action through the electronic notification system click on Corporate Actions Management Platform. Please note, to submit a form as an Issuer, new users will need to click the “Create Account Here” hyperlink located below the sign-in box to receive a Username and Password. For ADR bank access please contact your Account Administrator for assistance.
- Log into the Corporate Actions Management System.
- Select Requests and Filings on the left-hand panel.
- To start a new filing click “Create Case” in the upper right-hand side. Alternatively, a user may duplicate a draft using “Actions” of the saved draft. When duplicating a draft, please ensure all information on the form is correct prior to submission.
- Complete all the required fields and provide any additional information that may be needed to process the request. The Completeness Check will guide a user for missing information. Please note you may save the form at any time to create a draft.
- Once all required fields are provided, submit the form, and provide payment if applicable. A submitted case will have the status of “Submitted” or “In Process/Review.”
- Check the “Case Steps” tab for any additional documents needed to process the request and provide the details. The OTC Corporate Actions and Dividends team will utilize this section for any additional clarification needed, including the addition of new case steps as the request is being processed.
For questions regarding the form, please contact FINRA Operations at (866) 776-0800, Option 1.
For questions relating to setting up an account or logging in, please contact the FINRA Support Center at (301) 590-6500.