September 16, 2014
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General Notice for changes to Daily Lists and Security Files on OTCBB

Please Route To: OTCBB Contacts

What you need to know:
NASDAQ OMX, on behalf of FINRA, is implementing changes to the Daily Lists and Security Files which will affect the file layouts.

Who you should contact:
FINRA Product Management at (866) 899-2107.




What is changing:
Effective Oct 27, 2008 FINRA will implement changes to the Daily List and Security Files on www.otcbb.com as follows:

Reg_Fee_flag will replace the current Filler field in the Security Files and Daily Lists available on OTCBB.com. The Reg_Fee_Fl is a one character field with the following allowable values:

  • Y (Yes Security is subject to Regulatory Transaction Fees).
  • N (No Security is NOT subject to Regulatory Transaction Fees).

Fields in the Security Files:

  • Issue_Sym_Id
  • Issue_Type_Cd
  • Issue_Short_Nm
  • Status
  • Mkt_Cat
  • OATS_Rptbl_Fl
  • Unit_of_Trade
  • Reg_Fee_Fl

Fields in the Daily Lists:

  • DailyListDate
  • Type
  • NewSymbol
  • OldSymbol
  • NewName
  • OldName
  • EffDate
  • Comments
  • Notes
  • CoPhone
  • Mkt_Cat
  • OATS_Rptbl_Fl
  • Unit_of_Trade
  • Reg_Fee_Fl

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:

Who can I contact for additional information:
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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