Category: FINRA Rule 6490

An Overview of Upcoming Changes To FINRA’S Corporate Action Notification Process
  • Admin
  • May 16, 2023
Financial institutions and other clients who need to comply with the Financial Industry Regulatory Authority (FINRA) rules and regulations should be aware of upcoming changes to its Corporate Actions ....
Corporate Action Changes: FINRA Rule 6490
  • Admin
  • Sep 27, 2010
The Financial Industry Regulatory Authority, or FINRA, made key changes in the way corporate actions are handled this past year, including eliminating time-consuming paperwork and adding issuer fees f....