Electronic issuer company related action notificatoin form 2025

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  1. Click ‘Get Form’ to open it in the editor.
  2. Begin by filling out the Company Information section. Enter your Company Name, Address, and Contact details accurately. Ensure all fields marked with an asterisk (*) are completed.
  3. Proceed to the Contact Information section. Provide the contact person's First Name, Last Name, Title, and Email. Confirm if the contact firm name differs from the company name.
  4. In the Company Officers and Directors section, list all relevant officers along with their titles and appointment dates. Use the 'Add another' option if necessary.
  5. Complete the Transfer Agency Contact Information by entering details of your transfer agency representative. Make sure to specify if this agency will process the corporate action.
  6. Fill in the Issuer Security Information section with current issue symbol and CUSIP. Indicate any trading restrictions that may apply.
  7. Select applicable Transaction Options for corporate actions such as stock splits or dividends, and provide additional required documentation as specified.
  8. Finally, review all entered information for accuracy before submitting your form through our platform.

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For system issues or technical support questions, users may contact the FINRA Support Center by phone at (301) 590-6500 or by creating an online support ticket through the FINRA Gateway system.
Who can help? If you have additional questions, please contact otccorpactions@finra.org, otcdividends@finra.org, or call (866) 776-0800, Option 1.
FINRA is subject to robust oversight by the Securities and Exchange Commission. FINRA is regularly examined by the SEC. FINRAs rules are subject to review and approval by the SEC, generally following a public comment period.
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 must process the corporate action for it to become effective.
NEED HELP? For help logging into the DR Portal, call FINRA Support Center at (301) 590-6500. For other technical difficulties, call (800) 700-7065. For case-related questions, please contact the regional office assigned to your case.