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 Management Platform.
Introduction to the New Corporate Actions Management Platform
FINRA is introducing a new system for ADR dep
Category: FINRA
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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 for corporate action processing.
As far as paper elimination is concerned, FINRA has created interactive PDF documents for both