Sorry, FINRA is not involved in Liquidating Distributions. That would be news to me. And to FINRA. If, of course, SRGE had actually promised a liquidating distribution. Corporate Actions Impacted by FINRA Rule 6490 Rule 6490 requires advance notice to FINRA of the following corporate actions: -- dividends or other distributions; -- forward or reverse stock splits, or rights or other subscription offerings; -- any issuance or change to a symbol or name; -- mergers, acquisitions, dissolutions or other company control transactions; and -- bankruptcy or liquidations. http://www.securitieslawyer101.com/finra-rule-6490-2012-update/