If FINRA has any further questions, comments or co
Post# of 40989
(Total Views: 220)
Posted On: 04/12/2018 3:46:14 PM
If FINRA has any further questions, comments or concerns I believe they usually contact the CEO/company.
From dealing with this matter regarding DOLV/JBZY, I believe there's a 10-day wiggle room from when a company makes a request and FINRA actually publishing when all is ready... a company may choose a 'rough' date within that 10 day period:
3. What documents are required for a Company to change its name?
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. Submissions can be set via email or fax to (202) 689-3533. Failure by an OTC Equity issuer to provide the requisite notice may constitute fraud under Section 10 of the Securities Exchange Act of 1934.
http://www.finra.org/industry/faq-upc-corporate-actions-faq
I think Berman plays a role in roughly when FINRA may approve... he may still be responding to requests/questions/concerns FINRA may have or for some reason is setting it up for a certain time to be changed or or or... it's really unknown and I think only Berman really KNOWS...
From dealing with this matter regarding DOLV/JBZY, I believe there's a 10-day wiggle room from when a company makes a request and FINRA actually publishing when all is ready... a company may choose a 'rough' date within that 10 day period:
3. What documents are required for a Company to change its name?
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. Submissions can be set via email or fax to (202) 689-3533. Failure by an OTC Equity issuer to provide the requisite notice may constitute fraud under Section 10 of the Securities Exchange Act of 1934.
http://www.finra.org/industry/faq-upc-corporate-actions-faq
I think Berman plays a role in roughly when FINRA may approve... he may still be responding to requests/questions/concerns FINRA may have or for some reason is setting it up for a certain time to be changed or or or... it's really unknown and I think only Berman really KNOWS...
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