"An issuer is required to notify FINRA of an Other Company-Related Action no later than 10 calendar days prior to the effective date of the Company-Related Action. "
And what is the name of this company? When was it changed? Was FINRA notified no later than 10 calendar days prior to the effective date of the Company-Related Action.?
Background
Historically, FINRA has performed certain limited functions relating to the processing of non-exchange-listed issuer company actions in the over-the-counter (OTC) securities market. Specifically, FINRA reviews and processes documents related to announcements for company-related actions pursuant to SEA Rule 10b-17 (Untimely Announcements of Record Dates),2 and other company actions, including the issuance of or change to a trading symbol or company name, mergers, acquisition, dissolutions or other company control transactions, bankruptcy or liquidations.
"FINRA announces company-related actions pursuant to requests from issuers and their agents on its website in a document known as the "Daily List,"
Why is it taking FINRA so long to announce the change when there doesn't seem to be any backlog with others?
So if something isn't or wasn't done right, then what happens?
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