Technical Notice

OTC Quoting and Trading Resumes

November 7, 2013

On Thursday, November 7, 2013, the Financial Industry Regulatory Authority, Inc. (FINRA) halted quoting and trading in all OTC equity securities pursuant to FINRA Rule 6440(a)(3). See UPC Notice # 47-13. FINRA determined to impose the temporary halt because of a lack of current quotation information for OTC equity securities. Members are hereby advised that FINRA is lifting the market-wide quoting and trading halt in all OTC equity securities effective Thursday, November 7, 2013, at 15:00:00 p.m. E.T. Members are permitted to display “closed” quotations for a quote-only period beginning at 14:45:00 p.m. E.T. on Thursday, November 7, 2013.

Questions regarding this notice can be directed to: FINRA Operations at (866) 776-0800.