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Technical Notice

FINRA Updates the OTCBB/OTC Equities High Price Dissemination List

October 22, 2021

FINRA is publishing its quarterly OTCBB/OTC Equities High Price Dissemination List for the second quarter of 2021. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of October 22, 2021. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter October 21, 2021 as the “Start” date and October 22, 2021 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 by email.