What documents are required for a stock split?
The company needs to complete the OTC Equity Name Change / Stock Split Request form (PDF) as well as the OTC Equity Issuer Notification form (PDF). All notifications are required to be received by FINRA no later than 10 calendar days prior to the record date of the corporate action. Failure by an OTC Equity issuer to provide the requisite notice constitutes fraud under Section 10 of the Securities Exchange Act of 1934.
