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FINRA publishes a Uniform Practice Advisory regarding OTC Equity Halt Authority
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Overview
On October 6, 2008, FINRA published Uniform Practice Advisory #046-2008 regarding FINRA’s procedure for halting quoting and trading activity in OTC Equity securities in connection with the triggering of a percentage-based circuit breaker for NMS stocks.
Questions regarding this notice should be directed to: FINRA Operations, 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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