FINRA Sets Closing Date for OTCBB
The OTC Bulletin Board ("OTCBB") will shut down and FINRA will delete its OTCBB-related rules on November 8, 2021.
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FINRA adopted rule changes to (i) shut down the OTC Bulletin Board Service and delete all related rules, and (ii) establish new requirements for alternative systems run by individual broker-dealers that disseminate identified broker-dealer quotations in OTC Equity Securities.
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- FINRA Regulatory Notice 21-28: FINRA Adopts Rule 6439 Governing the Operation of Inter-dealer Quotation Systems and Announces Closure of the OTC Bulletin Board
- FINRA Rule 6439: Requirements for Member Inter-Dealer Quotation Systems
- FINRA Rule 7720: Securities Lending and Transparency Engine (SLATE)
- FINRA Rule 9217: Violations Appropriate for Disposition Under Plan Pursuant to SEA Rule 19d-1(c)(2)
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Tags
Regulated Activities
Trading
Sub-Activity
Quotations in OTC Equities
Regulated Entities
Markets
Sub-Entity
OTCBBs
Regulated Products
Equities
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
FINRA / MSRB / SEC Exchanges / SIPC / Accountants
Sub-Author
FINRA