RegAlertRule · FINRA · 13 Dec 2024 · ORF Technical Notice
FINRA Updates the OTC Equities High Price Dissemination List
FINRA published its quarterly OTC Equities High Price Dissemination List for the third quarter of 2024, effective December 13, 2024. This update identifies OTC equity securities eligible for trade report dissemination for transactions of fewer than 100 shares. For securities trading at or above $175.00, FINRA designates the unit of trade as 1 share and disseminates last sale information for all such transactions, no longer treating them as odd-lot transactions. FINRA conducts these reviews quarterly to determine which securities meet the dissemination criteria.
Technical Notice
December 13, 2024
FINRA Updates the OTC Equities High Price Dissemination List
Published Date:
FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the third quarter of 2024. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of December 13, 2024. To view changes, visit the Daily List: Security Attribute Changes
page, select the “Unit of Trades” filter and enter December 12, 2024 as the “Start” date and December 13, 2024 as the “End” date.
As discussed in the
FINRA March 18, 2008, Trade Reporting Notice, 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 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. If you have questions, contact FINRA Operations at (866) 776-0800 or finraoperations@finra.org.
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