H-D International Holdings Group (HDIH)

[Don Beasley]

Name changes must be approved by FINRA


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 [phone]. Failure by an OTC Equity issuer to provide the requisite notice may constitute fraud under Section 10 of the Securities Exchange Act of 1934.

Are all mergers and acquisitions required to be filed under FINRA Rule 6490?

No, only a merger or acquisition that has a direct impact on the publicly tradable security of a company (e.g., name change, distribution, cancellation of shares) would an issuer be required to notify FINRA.

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