Quoting and Trading OTC Equities

Overview

The FINRA Rule 6400 Series sets out the rules that generally apply to broker-dealers posting quotations in OTC (unlisted) securities. Over time, the FINRA rules applicable to OTC trading have come to track, moderately closely, the rules of the SEC governing trading in National Market System (U.S. exchange-listed) securities.

In addition to this topic page, see all the topic pages on (i) the OTCBB; (ii) Trading Halts; and (iii) SEA Rule 15c2-11.

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