We use cookies to improve security, personalize the user experience, enhance our marketing activities (including cooperating with our marketing partners) and for other business use.
Click "here" to read our Cookie Policy. By clicking "Accept" you agree to the use of cookies. Read less
Read more
Accept
Loading
Form preview
  • US Legal Forms
  • Form Library
  • More Forms
  • More Uncategorized Forms
  • Electronic Issuer Company Related Action Notificatoin Form

Get Electronic Issuer Company Related Action Notificatoin Form

Issuer Company-Related Action Notification Form Page 1 of 5 Your form has been submitted to FINRA. If there is a fee applicable to your Company-Related Action, please click the Proceed to Pay Online.

How it works

  1. Open form

    Open form follow the instructions

  2. Easily sign form

    Easily sign the form with your finger

  3. Share form

    Send filled & signed form or save

How to fill out the Electronic Issuer Company Related Action Notification Form online

This guide provides a straightforward approach to completing the Electronic Issuer Company Related Action Notification Form online. With clear instructions and helpful insights, users will be able to navigate each section of the form effectively.

Follow the steps to complete the form accurately.

  1. Click ‘Get Form’ button to access the Electronic Issuer Company Related Action Notification Form and open it for editing.
  2. Begin by providing company information, including 'Company Name' and 'Company Address.' Ensure that the address includes the street, city, state, and zip code. Mandatory fields are marked with an asterisk.
  3. Indicate whether the company is required to file reports under Section 13 or 15(d) of the Exchange Act by selecting 'Yes' or 'No.'
  4. Next, specify the country and state of incorporation, as well as the date of incorporation. Also, confirm whether the company is in 'Good Standing' in its state of incorporation.
  5. Provide contact information for communications regarding the Company-Related Action. Input the first name, last name, title, telephone number, and email of the contact person.
  6. List company officers and directors by entering their names, titles, and dates of appointment. You can add additional officers as needed.
  7. Answer questions regarding any pending regulatory actions against officers or directors.
  8. Next, fill in the transfer agency contact information, including the name, address, email, and telephone number of the agency representative.
  9. Provide issuer security information, including the current issue symbol and CUSIP. Select the type of corporate actions applicable to the entity.
  10. For dividend distribution, specify the type, record date, payment date, and amount per share. Indicate how often dividends are distributed.
  11. Attach required documentation as specified for company-related actions and check off any additional required fields.
  12. Finally, authorize the submission of the form by entering your printed name and the date to certify the accuracy of the information provided.
  13. Once all sections are completed, review the form for accuracy. You can save changes, download, print, or share the completed form as needed.

Complete your Electronic Issuer Company Related Action Notification Form online today to ensure timely processing!

Get form

Experience a faster way to fill out and sign forms on the web. Access the most extensive library of templates available.
Get form

Related content

Exhibit 5 - SEC.gov
debt securities of any issuer with a class of publicly traded, non-exchange listed,...
Learn more
Final Rule: Mandated Electronic Filing and Website...
May 13, 2003 — Website posting of Forms 3, 4 and 5 by issuers with corporate websites...
Learn more
U.S. Securities and Exchange Commission...
The U.S. Securities and Exchange Commission (SEC) is a large independent agency of the...
Learn more

Related links form

East Asia 10/02 - Virginia Department Of Education - Doe Virginia Virginia Middle And High School Principals Conference & Exposition - Doe Virginia Report Of Graduates 1999-2000 School Year - Virginia Department Of ... - Doe Virginia Report Of Dropouts 1999 - Virginia Department Of Education - Doe Virginia

Questions & Answers

Get answers to your most pressing questions about US Legal Forms API.

Contact support

FINRA rule 6820 pertains to the listing of securities on the FINRA marketplace. This rule ensures that firms comply with specific operational requirements for trading. For issuers navigating this process, utilizing the Electronic Issuer Company Related Action Notification Form can enhance communication and facilitate easier compliance with regulatory standards.

Understanding FINRA rule 4210 can be simplified by recognizing its role in margin requirements for securities. In essence, it sets guidelines that firms must follow concerning margin accounts and transactions. By having a clear understanding of compliance with rules like the Electronic Issuer Company Related Action Notification Form, issuers can effectively manage their corporate actions.

To reach FINRA‘s Corporate Actions department, you can call their dedicated support line. This line provides assistance regarding all aspects of corporate actions and the necessary compliance forms, including the Electronic Issuer Company Related Action Notification Form. Keeping this contact handy can help streamline your inquiries.

FINRA rule 6440 deals with the requirements for reporting and submitting information about corporate actions. This rule outlines the procedures and obligations of issuers and helps streamline the filing of the Electronic Issuer Company Related Action Notification Form. It ensures that all stakeholders receive the necessary information in a timely manner.

FINRA rule 6490 focuses on the notification process for corporate actions. This rule requires issuers to submit an Electronic Issuer Company Related Action Notification Form to inform the relevant parties about any corporate actions. By adhering to this rule, companies can ensure clarity and transparency in their communications.

In order to more effectively manage data from trading activity, the FINRA created Rule 6000, which specifies standard requirements for operating systems (transaction reporting facilities) that report the purchase of sale of securities.

Rule 6490 requires issuers to complete and provide the required notice to FINRA at least 10 business days prior to the record date of the corporate action. FINRA approval must be received before the corporate action becomes effective.

How to Report Disclosure Events - Rule 4530 (a, b) FINRA Rule 4530(a) requires firms to promptly report specified events to FINRA no later than 30 calendar days after the firm knows or should have known of their existence.

SEA Rule 10b-17 prescribes information that must be included in the notice, including, but not limited to: the title of the security; date of declaration; record date; payment or distribution date; for cash distributions, the amount to be paid per share; for distribution of securities, generally the amount of the ...

What documents are required for a stock split? 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.

Get This Form Now!

Use professional pre-built templates to fill in and sign documents online faster. Get access to thousands of forms.
Get form
If you believe that this page should be taken down, please follow our DMCA take down processhere.

Industry-leading security and compliance

US Legal Forms protects your data by complying with industry-specific security standards.
  • In businnes since 1997
    25+ years providing professional legal documents.
  • Accredited business
    Guarantees that a business meets BBB accreditation standards in the US and Canada.
  • Secured by Braintree
    Validated Level 1 PCI DSS compliant payment gateway that accepts most major credit and debit card brands from across the globe.
Get Electronic Issuer Company Related Action Notificatoin Form
Get form
Form Packages
Adoption
Bankruptcy
Contractors
Divorce
Home Sales
Employment
Identity Theft
Incorporation
Landlord Tenant
Living Trust
Name Change
Personal Planning
Small Business
Wills & Estates
Packages A-Z
Form Categories
Affidavits
Bankruptcy
Bill of Sale
Corporate - LLC
Divorce
Employment
Identity Theft
Internet Technology
Landlord Tenant
Living Wills
Name Change
Power of Attorney
Real Estate
Small Estates
Wills
All Forms
Forms A-Z
Form Library
Customer Service
Terms of Service
Privacy Notice
Legal Hub
Content Takedown Policy
Bug Bounty Program
About Us
Blog
Affiliates
Contact Us
Delete My Account
Site Map
Industries
Forms in Spanish
Localized Forms
State-specific Forms
Forms Kit
Legal Guides
Real Estate Handbook
All Guides
Prepared for You
Notarize
Incorporation services
Our Customers
For Consumers
For Small Business
For Attorneys
Our Sites
US Legal Forms
USLegal
FormsPass
pdfFiller
signNow
airSlate WorkFlow
DocHub
Instapage
Social Media
Call us now toll free:
+1 833 426 79 33
As seen in:
  • USA Today logo picture
  • CBC News logo picture
  • LA Times logo picture
  • The Washington Post logo picture
  • AP logo picture
  • Forbes logo picture
© Copyright 1997-2025
airSlate Legal Forms, Inc.
3720 Flowood Dr, Flowood, Mississippi 39232
Form Packages
Adoption
Bankruptcy
Contractors
Divorce
Home Sales
Employment
Identity Theft
Incorporation
Landlord Tenant
Living Trust
Name Change
Personal Planning
Small Business
Wills & Estates
Packages A-Z
Form Categories
Affidavits
Bankruptcy
Bill of Sale
Corporate - LLC
Divorce
Employment
Identity Theft
Internet Technology
Landlord Tenant
Living Wills
Name Change
Power of Attorney
Real Estate
Small Estates
Wills
All Forms
Forms A-Z
Form Library
Customer Service
Terms of Service
Privacy Notice
Legal Hub
Content Takedown Policy
Bug Bounty Program
About Us
Blog
Affiliates
Contact Us
Delete My Account
Site Map
Industries
Forms in Spanish
Localized Forms
State-specific Forms
Forms Kit
Legal Guides
Real Estate Handbook
All Guides
Prepared for You
Notarize
Incorporation services
Our Customers
For Consumers
For Small Business
For Attorneys
Our Sites
US Legal Forms
USLegal
FormsPass
pdfFiller
signNow
airSlate WorkFlow
DocHub
Instapage
Social Media
Call us now toll free:
+1 833 426 79 33
As seen in:
  • USA Today logo picture
  • CBC News logo picture
  • LA Times logo picture
  • The Washington Post logo picture
  • AP logo picture
  • Forbes logo picture
© Copyright 1997-2025
airSlate Legal Forms, Inc.
3720 Flowood Dr, Flowood, Mississippi 39232