Skip to main content
Welcome to the new Learn more about our updates.
Create your own user feedback survey

Proposed Rule Change to Adopt FINRA Rule 6490 Relating to Processing of Company-Related Actions and Implementing Fees for Such Services

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rule 6490 (Processing of Company-Related Actions) to clarify the scope of FINRA’s regulatory authority and discretionary power when processing documents related to announcements for company-related actions for non-exchange listed equity and debt securities and to implement fees for such services.

Title Format - Size Status
Text of Proposed Rule Change PDF - 108.68 KB
Federal Register Notice PDF - 58.91 KB
Extension No. 1 PDF - 23.73 KB
Extension No. 2 PDF - 23.72 KB
Extension No. 3 PDF - 23.72 KB
Response to Comments PDF - 360.7 KB
Extension No. 4 PDF - 23.73 KB
Extension No. 5 PDF - 23.72 KB
Extension No. 6 PDF - 23.1 KB
Extension No. 7 PDF - 23.03 KB
Approval Order PDF - 78.49 KB