Wednesday, May 21, 2014 11:54:10 AM
Company?
3. What documents are required for a Company to change its name?
The company needs to complete the Issuer Company-Related Action Notification Form and submit to FINRA no later than 10 calendar days prior to the record date of the corporate action. Submissions can be set via email or fax to (202) 689-3533. Failure by an OTC Equity issuer to provide the requisite notice may constitute fraud under Section 10 of the Securities Exchange Act of 1934.
4. Are there any reasons when an OTC Voluntary Symbol Change will not be granted? Or are there any time restrictions when requesting an OTC Voluntary Symbol Change request?
Yes, FINRA will not process a voluntary symbol request if the issuer has either an announced corporate action or a symbol change within the past 60 days.
8. What are the applicable fees under FINRA Rule 6490?
SEA Rule 10b-17Action Fee
Timely SEA Rule 10b-17 Notification $200
Late SEA Rule 10b-17 Notification Submitted at least 5 calendar days prior to Corporate Action Date $1,000
Late SEA Rule 10b-17 Notification Submitted at least 1 calendar day prior to Corporate Action Date $2,000
Late SEA Rule 10b-17 Notification Submitted on or after Corporate Action Date $5,000
Other Company-Related Action Fee
Voluntary Symbol Request Change $500
Initial Symbol Set Up No Charge
Symbol Deletion No Charge
Appeals Fee
Action Determination Appeal Fee
http://www.finra.org/Industry/Compliance/MarketTransparency/UPC/FAQ/P117315#2-3
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