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FINRA Makes Available New Data on OTC Equity Trading (FINRA Reg. Notice 16-14)

FINRA released expanded data on over-the-counter trading in equity securities. The expanded data set extends FINRA's trading-volume transparency to all of the OTC market.

FINRA is supplementing the data that it currently makes available on trading by alternative trading systems ("ATSs") including venues known as "dark pools" with new data on all other equities volume executed OTC by FINRA members (non-ATS OTC volume). FINRA will expand its ATS transparency initiative to publish monthly information on block-size trades occurring on ATSs.

Primary Sources

  1. FINRA OTC Transparency Data
  2. FINRA Regulatory Notice 16-14 Announcement
  3. FINRA Regulatory Notice 16-14

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Tags

Regulated Activities
Trade Reporting Trading
Sub-Activity
Regulation ATS
Regulated Entities
Broker-Dealers Markets
Regulated Products
Equities
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
FINRA / MSRB / SEC Exchanges / SIPC / Accountants
Sub-Author
FINRA