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General Notice for Changes to Daily List on OTCBB

August 4, 2008

What you need to know: FINRA is implementing a new event type to the OTCBB Daily List.

Who you should contact: FINRA Operations at (866) 776-0800


What is changing?
FINRA will implement a new event type (S3) onto the OTCBB Daily List to denote when a previously scheduled filing delinquency has been canceled. The new event type is scheduled for an effective date of September 8, 2008. The changes to be implemented are as follows:

  1. Daily List File - When a cancellation event occurs, an S3 value will be placed into the “Type” field along with a description of the canceled event.
  2. Daily List Web Page - When a cancellation event occurs, a cancellation category will be displayed on the page along with a description of the canceled event.

Who can I contact for additional information?
FINRA Operations at (866) 776-0800




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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