April 19, 2014
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FINRA Revises Policy for Dissemination Reports of OTC Equity Security Transactions for Fewer than 100 Shares

Overview

FINRATM will publish a one time OTCBB/OTC Equities High Price Dissemination List into the FTP site under the file name, OTC_HIGH_PRICE_LIST_03052008, effective Tuesday, April 15, 2008. This is a list of all OTC Equity Securities eligible for trade report dissemination for trades of fewer than 100 shares.

For all OTC Equity Securities that trade at or above $175.00, transactions of fewer than 100 shares will no longer be considered “odd-lot” transactions for dissemination purposes. Instead, FINRA has designated the unit of trade for these securities as one (1), and FINRA will disseminate last sale information for all transactions of one or more shares in such securities. Going forward, FINRA will review trading activity quarterly to determine whether additional OTC equity securities meet the stated dissemination criteria.

For further information, please refer to the FINRA Trade Reporting Notice.

Contact Information:

Contacts for questions: FINRA Operations 866.776.0800 or finraoperations@finra.org.




The OTC Bulletin Board (OTCBB) is a regulated quotation service that displays real-time quotes, last-sale prices, and volume information in over-the-counter (OTC) equity securities. An OTC equity security generally is any equity that is not listed or traded on NASDAQ or a national securities exchange. OTCBB securities include national, regional, and foreign equity issues, warrants, units, ADRs, and Direct Participation Programs (DPPs).


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