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Issuer Company-Related Action Notification Form and ADR Company-Related Action Notification Form

Instructions for Completion and Submission

The Issuer Company-Related Action Notification Form is 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 Issuer Company-Related Action. Please note, new users will need to click the “Register Now” hyperlink located in the upper right-hand side of the login screen to receive a User Name and Password.

  1. Select the “Issuer Company-Related Action Notification Form” option located on the left-hand side menu.
  2. New users should select Begin New Form. Returning users may select either Begin New Form or may copy a previously submitted form by selecting the filing and clicking Copy. On a copied form, the user will need to select the Transaction Option(s) that apply to the new action, as well as confirm that all information populated from the prior submission is accurate for the current submission, or make any corrections necessary. Forms that are started but not completed or submitted will be saved as a Draft and may be used and submitted at a future date by the user.
  3. Complete all required fields in the Company Information, Contact Information, Company Officers and Directors, Transfer Agency, and Security Information sections. All communications regarding this form will be addressed to the specified contact person in the Contact Information section of the form.
  4. In the Transactions section, select all company-related action options that apply. If “Other” option is selected, provide all pertinent details of the company-related action.
  5. In the Documentation section, attachments can be uploaded directly to the appropriate link.
  6. Complete the Certification section of the form.
  7. Upon completion of the form, click the “Check for Errors” button to determine whether any required information is missing.  Once any errors have been addressed, you can review the fee, if any, associated with the form in the Certification section.  If there are fees associated with the form, click “Make Payment” to submit the form and remit your payment. Payments can be submitted via credit card or ACH (from checking accounts only). If there is no fee associated with the form, click Submit to submit the form.

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 Call Center at (301) 590-6500.