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FINRA is implementing changes to the Daily Lists and Security Files which will affect file layouts.

What is changing?

FINRA will implement changes to Daily List and Security Files on www.otcbb.com, effective Tuesday, May 20, 2008. The changes to be implemented are as follows:

1)  Security Files available on the OTCBB Symbol Directory will contain a trailer record with the files. Date, Timestamp and Total Record Count as follows:
(A file generated January 11, 2008 at 9:30:22 a.m. containing 53,748 records):
20080111093022053748

2)  A newfield will be included in the Securityand Daily List files available on the OTCBB website. The new field, Unit_of_Trade, will be included on each record and can be found after the fieldOATS_Rptbl_Fl. The last field ineach record will bea filler.

Fields in the Security Files:
   Issue_Sym_Id
   Issue_Type_Cd
   Issue_Short_Nm
   Status
   Mkt_Cat
   OATS_Rptbl_Fl
   Unit_of_Trade
   Filler

Fields in the Daily Lists:
   DailyListDate
   Type
   NewSymbol
   OldSymbol
   NewName
   OldName
   EffDate
   Comments
   Notes
   CoPhone
   Mkt_Cat
   OATS_Rptbl_Fl
   Unit_of_Trade
   Filler

Security Files affected by these changes are:
   All OTCBB Securities
   All Other-OTC Securities
   All OTCBB and Other-OTC Securities

To view sample files click on the following links:

Sample Security File

Sample Daily List File

Who can I contact for additional information?

Contact FINRA Product Management at 866.899.2107.




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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