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General Notice for Daily Lists and Security Files for OTC Equity Securities

On Friday, May 29, 2009, FINRA will delete approximately 51,000 inactive, suspended or expired OTC Equity securities from the OTC Reporting Facility (“ORF”). The deletions will be effective Monday, June 1, 2009, and the issues will no longer appear on the OTC Equities downloadable lists.

Due to the number of issues being deleted, the OTC Equities Daily Lists available via the OTCBB Web application (www.otcbb.com) and Secure FTP ftp://ftp.otcbb.com/symboldirectory/ will not contain these issues under the Security Deletions section. Instead, FINRA will publish a pipe-delimited text file on the FTP folder above at close of business on Friday, May 29, 2009, entitled, OTC Equities Deletions 05292009.txt that conforms to the Daily List file format.

A member firm needing to report an over-the-counter trade in a non-exchange listed equity security that has been deleted for inactivity and not currently included in an OTC Equities downloadable list should send an email requesting a symbol and providing relevant information to otcsymbols@finra.org.

Questions concerning this notice may be directed to FINRA Operations at (866) 776-0800 or email at 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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