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What transactions in equity securities must be reported to FINRA?

April 26, 2017equity FINRA reported securities transactions

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What transactions in equity securities must be reported to FINRA?

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A100.3: All OTC transactions in equity securities to which a FINRA member is a party must be reported to FINRA, unless expressly excepted from the trade reporting rules (as discussed more fully below). Reportable OTC transactions include trades in NMS stocks effected otherwise than on an exchange, which must be reported to the ADF or a TRF, as well as OTC trades in OTC Equity Securities and Restricted Equity Securities, which must be reported to the ORF.