FINRA Reminds Firms of Obligations regarding Quotations in Securities of Foreign Private Issuers

FINRA reminded broker-dealers that provide quotations in the securities of a foreign private issuer to make available specified information upon request to any person that expresses an interest in a transaction in the issuer's securities, pursuant to Exchange Act Rule 15c2-11(a)(4). In the Regulatory Notice, FINRA stated that where the foreign private issuer restricts U.S. investors from accessing the issuer's website, broker-dealers must make this information available through other means.