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Rule 6490 applies to both National Exchange Companies and OTC Companies. In 2010, FINRA enacted Rule 6490 which codifies the requirements of Rule 10b-17, requiring issuers to provide timely notice to FINRA of such certain corporate actions and other corporate actions, such as mergers, acquisitions and bankruptcies. Rule 10b-17 applies to any issuer that has a “class of securities publicly traded by the use of any means or instrumentality of interstate commerce.” In general, the rule requires an issuer to file certain information with the Financial Industry Regulatory Authority (“FINRA”) at least 10 days prior to the record date of certain corporate actions, such as cash and stock dividends, stock splits or reverse splits, or rights or other subscription offerings. Rule 10b-17 Compliance – Reminder for OTC Listed CompaniesĬompanies with shares publicly traded on a national exchange in the United States (“National Exchange Companies”), such as the NYSE or the NASDAQ, as well as companies with securities listed over-the-counter (“OTC Companies”), such as on OTCQB or OTC Pink, must comply with the disclosure requirements of Rule 10b-17 (“Untimely Announcements of Record Dates”) under the Securities Exchange Act of 1934, as amended (the “Exchange Act”).