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ARTICLE · 24 SEPTEMBER 2019

FINRA To Publish Additional OTC Equity Trading Volume Data

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The rule amendments will become effective on November 4, 2019.

United StatesFinance and Banking
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FINRA adopted amendments to Rules 6110 ("Trading Otherwise than on an Exchange") and 6610 ("General") that will expand the summary firm data FINRA publishes on its website regarding OTC equity trading. The rule amendments will become effective on November 4, 2019.

As previously covered, FINRA will publish monthly block trading statistics for trades in National Market System stocks occurring outside of an alternative trading system ("ATS") on the same terms as currently released ATS block trading statistics.

Primary Sources

  1. FINRA Regulatory Notice 19-29: OTC Equity Trading Volume

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