Technical Notice

FINRA OTC Transparency Data

January 3, 2017

FINRA has identified data anomalies, which have impacted reported ATS, Non-ATS and ATS Block Data statistics beginning on Thursday, December 29, 2016, and through the current day, January 3, 2017.

Any data viewed on the https://ats.finra.org website, and accessed via the downloads may not be currently accurate. FINRA staff is addressing the problem, and anticipates all data to be correct by the start of day on Wednesday, January 4, 2017.

FINRA will publish updates regarding this issue as details become known and once the data has been corrected.

Questions regarding this notice should be directed to FINRA Operations or via phone at (866) 776-0800.