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| OTC Bulletin Board ® Rules
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A select list of FINRA and SEC rules applicable to the OTCBB are provided below.
6500 OTC Bulletin Board Service
6510. Applicability
6520. Operation of the Service
6530. OTCBB-Eligible Securities
6540. Requirements Applicable to Market Makers
6541. Limit Order Protection
6550. Transaction Reporting
6600 Over-The-Counter Equity Securities
6610. Definitions
6620. Transaction Reporting
6630. Recording of Quotation Information
6640. Submission of Rule 15c2-11 Information on Non-Exchange-Listed Securities
6650. Minimum Quotation Size Requirements for OTC Equity Securities
6660. Trading and Quotation Halt in OTC Equity Securities
IM-6660-1. Factors to be Considered When Initiating a Trading and Quotation Halt
6900 Reporting Transactions in Direct Participation Programs
6910. Definitions
6920. Transaction Reporting
2300 Transactions with Customers
2320. Best Execution and Interpositioning
IM-2320. Interpretive Guidance with Respect to Best Execution Practices
Part 240
15c2-11 Initiation or resumption of quotations without specific information
15g-9 Sales practice requirements for certain low-priced securities
10b-17 Untimely announcements of record dates
3b-4 Definition of "foreign government," "foreign issuer" and "foreign private issuer"
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