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FINRA Updates the OTCBB/OTC Equities High Price Dissemination List

Overview

FINRA® is publishing its quarterly OTCBB/OTC Equities High Price Dissemination List, which will be available via a Unit of Trade query of the Daily List. This updated list of OTC Equity Securities eligible for trade report dissemination for trades of fewer than 100 shares will be effective April 22, 2013. All changes can be viewed by going to http://www.otcbb.com/AllDailyList/ , selecting “Unit of Trade Changes” in the “Search by Date Range” and entering April 19, 2013 as the “From” date.

As discussed in the OTCBB April 15, 2008 News Item http://www.otcbb.com/news/2008/GeneralNews/041508.stm), for all OTC Equity Securities that trade at or above $175.00, transactions of fewer than 100 shares are no longer considered “odd-lot” transactions for dissemination purposes. Instead, FINRA has designated the unit of trade for these securities as one (1), and FINRA disseminates last sale information for all transactions of one or more shares in such securities. FINRA reviews trading activity quarterly to determine whether additional OTC equity securities meet the stated dissemination criteria.

For further information, please refer to the FINRA Trade Reporting Notice.

Contact Information: Contacts for questions: FINRA Operations 866.776.0800 or finraoperations@finra.org.





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