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FINRA Updates List of OTC Equity Securities Deletions

July 31, 2009

In May 2009, FINRA published general notices announcing the deletion of approximately 51,000 inactive, suspended or expired OTC Equity securities from the OTC Reporting Facility (“ORF”). Based on member firm and industry feedback relating to the bulk deletion, FINRA announced that it would postpone the deletion until Friday, July 31, 2009 and at such time provided a preliminary list of OTC Equity securities identified for deletions. FINRA is providing an updated list of the OTC Equity securities identified for deletion.

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. A pipe-delimited text file that conforms to the Daily List file format of the OTC Equity securities identified for deletion can be found on the Secure FTP site, ftp://ftp.otcbb.com/symboldirectory/, entitled, OTC Equities Deletions 07312009.txt.

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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