September 20, 2014
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About OTCBB






OTC Bulletin Board™® Rules

A select list of FINRA and SEC rules applicable to the OTCBB® are provided below.

FINRA Rules

6400    QUOTING AND TRADING IN OTC EQUITY SECURITIES

6410. General
6420. Definitions
6430. OTC Equity Quotation Requirements
6431. Recording of Quotation Information
6432. Compliance with the Information Requirements of SEA Rule 15c2-11
6433. Minimum Quotation Size Requirements for OTC Equity Securities
6434. Minimum Pricing Increment for OTC Equity Securities
6435. Withdrawal of Quotations in an OTC Equity Security in Compliance with SEC Regulation M
6437. Prohibition from Locking or Crossing Quotations in OTC Equity Securities
6438. Displaying Priced Quotations in Multiple Quotation Mediums
6440. Trading and Quoting Halt in OTC Equity Securities
6450. Restrictions on Access Fees
6460. Display of Customer Limit Orders
6480. Multiple MPIDs for Quoting and Trading in OTC Equity Securities
6490. Processing of Company-Related Actions

6500    OTC BULLETIN BOARD™ SERVICE
6510. Applicability
6520. Operation of the Service
6530. OTCBB-Eligible Securities
6540. Requirements Applicable to the Market Makers
6550. Transaction Reporting

SEC Rules

Part 240

15c2-11   Initiation or resumption of quotations without specific information
15g-9   Sales practice requirements for certain low-priced securities
10b-17   Untimely announcements of record dates
3b-4   Definition of "foreign government," "foreign issuer" and "foreign private issuer"

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