Tuesday, June 20, 2017 9:20:00 AM
FINRA approves changes to a company's name for trading purposes. Fincera appropriately applied to effectuate the name change for trading purposes in connection with its name change from AutoChina International Ltd. to Fincera Inc. in July 2015. FINRA denied the request to change the Company's name for trading purposes based on FINRA Rule 6490(d), which allows for the denial of such requests if the issuer has been involved in a pending, adjudicated or settled regulatory action and if FINRA deems it necessary for the protection of investors, the public interest, and to maintain fair and orderly markets. FINRA cited as the basis of its denial the Securities and Exchange Commission (SEC) lawsuit that the Company settled in June 2014 without the Company admitting or denying wrongdoing. The Company subsequently appealed the denial of the name change for trading purposes and recently learned that the appeal was also denied.
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