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Technical Notice

OTC Quoting and Trading Resumes

November 10, 2014

On Friday, October 17, 2014, at 11:05:06 a.m. ET, the Financial Industry Regulatory Authority, Inc. (FINRA) halted quoting and trading in all OTC equity securities pursuant to FINRA Rule 6440(a)(3). 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 Friday, October 17, 2014, at 1:00 p.m. ET. Members are permitted to display “closed” quotations for a quote-only period beginning at 12:45:00 on Friday, October 17, 2014.

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