Why is it important to notify FINRA when my company first obtains or changes its Central Index Key or CIK Code?
Because our compliance program uses this code to link to filings made with the SEC, FINRA may incorrectly identify an issuer as delinquent and append an “E” to the issuer’s trading symbol if it does not have record of a company’s current CIK code. Please notify FINRA immediately upon first obtaining or changing an existing CIK code. You may notify FINRA via email at OTCBBFeedback@finra.org. • Why is it important to file a Notification of Late Filing (Form 12b-25)? To ensure our compliance system does not identify a company as delinquent in error, it is important that companies file a Notification of Late Filing on or before the filing due date. If a Notification of Late Filing is filed after the filing due date, the company’s symbol may be appended with a “E”. Trading Symbols • What does a fifth character “E” indicate for an OTCBB security? The fifth character “E” on an OTCBB trading symbol indicates that FINRA does not have information which demonstrates that the issuer of the securit
