Sunday, January 30, 2022 12:49:06 PM
FAQs
8. How will I know if my Company-Related Action was processed or found deficient?
FINRA will provide a written notice to the requesting party setting forth the outcome of FINRA’s review. In addition, if FINRA determines that the request will not be processed pursuant to FINRA Rule 6490(d)(3), the written notice will state the specific factor(s) that caused the request to be deemed deficient.
9. Is a FINRA Rule 6490 Company-Related Action deficiency determination a matter of public record?
No. FINRA does not publicly announce deficiency determinations relating to a Company-Related Action.
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