In the dynamic world of publicly traded companies, change is inevitable. Whether your organization is undertaking a merger, implementing a stock split, or modernizing its identity through a name change, executing a corporate action requires precision. Hamilton & Associates Law Group, P.A. provides comprehensive legal counsel and technical guidance to ensure your FINRA Corporate Action requests are processed efficiently and in compliance with all regulatory mandates.
Navigating FINRA Rule 6490 can be a complex hurdle for OTC Markets issuers and their management teams. A single administrative error or missing document can cause significant delays and introduce regulatory risks. Our firm acts as a strategic intermediary, guiding your company through the specific notice, documentation, and filing requirements to achieve a seamless transition and maintain market continuity.
Practice Areas & Key Services
Compliance with FINRA Rule 6490
We ensure meticulous compliance with the governing FINRA rule, advising clients on the specific triggering events and notice periods:
Rule 6490 Advisory: Determining when a corporate action “is subject” to FINRA notice and processing requirements.
Timeline Management: Managing the necessary disclosures to avoid late fees or deficiencies.
Fundamental Corporate Changes
The firm provides legal support for actions that redefine the corporation’s structure and identity:
Corporate Name Changes: Coordinating the legal name change process from shareholder approval to the final processing of a new trading symbol.
Ticker Symbol Changes: Guiding companies through the submission of new symbol requests for processing and validation.
Restructuring and Capital Adjustments
We manage the complex filings required for changes to the issuer’s equity structure:
Forward and Reverse Stock Splits: Drafting the specific resolutions, notices, and documentation required to effectuate stock splits.
Recapitalizations: Advising on the adjustment of authorized and outstanding share counts in preparation for financing or other transactions.
Strategic Combinations and Divestitures
For companies undergoing significant transactions, we ensure regulatory smoothness:
Mergers and Acquisitions: Guiding the resulting or surviving entity through the necessary notices to update market information.
Corporate Restructuring: Coordinating with transfer agents and regulators to execute internal reorganizations that impact the public float or issuer details.
Tailored Guidance for OTC and Microcap Issuers
FINRA Corporate Action requests for OTC Markets issuers require a detail-oriented, pragmatic approach. A successful “Corporate Action Notification” must be supported by impeccable corporate governance documents, appropriate board and shareholder consents, and clear communication with transfer agents.
Our approach is refined by extensive experience in the microcap and forensic securities investigation spaces. We anticipate the common pitfalls that cause FINRA deficiencies, ensuring your documentation is robust and your strategic changes are executed with the speed and legal certainty necessary to support long-term growth and compliance.p
Contact Us
If your company is planning a name change, merger, or stock split, ensure your FINRA requirements are met with precision. Contact our experienced team to discuss your upcoming corporate action.
Hamilton & Associates Law Group, P.A.
200 E Palmetto Park Road, Suite 103
Boca Raton, FL 33432
561-416-8956
Email: [email protected]