I emailed FINRA's investor's education contact/ema
Post# of 40989
(Total Views: 260)
Posted On: 06/29/2018 11:20:19 AM
I emailed FINRA's investor's education contact/email address I found a couple days ago to get some clarity on the whole name change process. Figure I would share it with you all.
There is no set time for successful processing of corporate actions submitted for review. Once a corporate action has been successfully processed it will be posted to the Daily List.
Generally, if information is missing, FINRA will communicate with the submitter. We cannot say whether the filing would have to be resubmitted. That is driven by the facts and circumstances of each particular filing.
Thank you.
Original Message
Sent: Thursday, June 28, 2018 1:21 PM
To: FINRA Investor Education
Subject: Ticker symbol change
Hello,
I was inquiring to learn more about the process of changing a company's ticker symbol. More specifically how long does it take from when the company submits all required paperwork/items needed to begin the application process does it take to when the approval of new ticker symbol is completed? Also, if for any reason while approval process is underway and there is an item missing or a question arises by FINRA, does the process get put on hold until the company provides required information? Once the required information is presented does the approval process start over from the beginning or continue where it left off? Any information on the overall process, the duration it takes to complete, etc would be much appreciated.
There is no set time for successful processing of corporate actions submitted for review. Once a corporate action has been successfully processed it will be posted to the Daily List.
Generally, if information is missing, FINRA will communicate with the submitter. We cannot say whether the filing would have to be resubmitted. That is driven by the facts and circumstances of each particular filing.
Thank you.
Original Message
Sent: Thursday, June 28, 2018 1:21 PM
To: FINRA Investor Education
Subject: Ticker symbol change
Hello,
I was inquiring to learn more about the process of changing a company's ticker symbol. More specifically how long does it take from when the company submits all required paperwork/items needed to begin the application process does it take to when the approval of new ticker symbol is completed? Also, if for any reason while approval process is underway and there is an item missing or a question arises by FINRA, does the process get put on hold until the company provides required information? Once the required information is presented does the approval process start over from the beginning or continue where it left off? Any information on the overall process, the duration it takes to complete, etc would be much appreciated.
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