Rule 10b-17, Untimely announcement of record dates (17 CFR 240. 10b-17)

OMB 3235-0476

OMB 3235-0476

Rule 10b-17 requires any issuer of a class of securities publicly traded by the use of any means or instrumentality of interstate commerce or of the mails or of any facility of any national securities exchange to give notice of the following actions relating to such class of securities: (1) a dividend, (2) a stock split, or (3) a rights or other subscription offering. Notice shall either be given to the Financial Industry Regulatory Authority, Inc. ("FINRA") (as successor to the National Association of Securities Dealers, Inc.) or be given in accordance with the procedures of the national securities exchange upon which the securities are registered. The Commission may exempt the issuer in circumstances where the issuer is reporting to FINRA.

The latest form for Rule 10b-17, Untimely announcement of record dates (17 CFR 240. 10b-17) expires 2023-11-30 and can be found here.

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