Technical Notice
OTC Transparency Data Issue
April 01, 2019
Currently, some ATS firm data is being displayed under multiple names, but for the same MPID. This is due to a mid-reporting period name change. FINRA is currently updating the display requirements to reflect only the Name associated with the MPID at the start of the reporting period. When the fix has been implemented and the historical data has been updated, FINRA will issue another Technical Notice providing an update. In the interim, users can take the total of the two MPIDs to arrive at the correct total for the Firm data. For example:
| Name | Total Shares | Total Trades |
|---|---|---|
|
ABCD ABC Corporation |
1,000,000 |
5,000 |
|
ABCD ABC Securities Inc. |
500,000 |
2,500 |
|
ABCD Total |
1,500,000 |
7,500 |
If you have any questions, please contact FINRA Business Services.