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General Notice for Changes to Daily List on OTCBB

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?
In reference to FINRA’s general news item published on September 25, 2008 (http://www.otcbb.com/news/2008/GeneralNews/092508.stm), FINRA will also implement a new event type (RT) onto the OTCBB Daily List to denote a change to the eligibility of an issue being subject to Regulatory Transaction Fees. The new event type is scheduled for an effective date of October 27, 2008. The changes to be implemented are as follows:

  1. Daily List File - When a change to the Regulatory Transaction Fee Flag occurs, an RT value will be placed into the “Type” field along with a comment.
  2. Daily List Web Page - When a change to the Regulatory Transaction Fee Flag occurs, the change details will be displayed on the page.

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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