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Finra other otc issues Form: What You Should Know
OF Forms and Documentation. OF Forms and Documentation | FINRA.org List of OTC Equity (OTC) securities and issuance that did not meet these requirements while in the OF are not reported in the SEC OTC Disclosure Database. Off-Exchange Transactions | FINRA.org List of transactions on which a member (or a predecessor) did not maintain an ATS and that do not appear in the SEC OTC Disclosure Database: Off-Exchange Transactions | FINRA.org OTC Equity (OTC) Exchange-Traded Products | FINRA.org A list of OTC Equity or Restricted Equity securities that either currently do not have an ATS, or did at one time without one. OTC EXCHANGE TRADING PRODUCTS OTC (ATS & Non-ATS) Exchange-Traded Products Data | FINRA.org List of OTC (ATS & Non-ATS) exchange-traded products that do not meet the requirements of one of the OTC forms. OTC Equity (OTC) Exchange-Traded Products Data | FINRA.org List of OTC Equity or Restricted Equity securities that did have an ATS and that now no longer meet the criteria. Other Records FINRA is an information delivery system. Members are urged to report as many relevant data points as possible. Members may be requested to provide information or to respond to a request by a member or an officer of the corporation. The information requested may include: (1) Membership, officer, director and major accounting and financial policy decision and/or action; (2) Audit or Review of financial statements or financial positions to determine compliance with the requirements of SEC and NASDAQ listing standards; and (3) Any other information, materials or data the person or representative believes to be relevant in the light of the information in this section or any other section in the document. Members have the option, as authorized in writing by the Corporation, to refuse any request for disclosure of information. For a complete listing of the types of records that may be requested, please view FINRA's Records Requests page. The following is a list of some other types of data the person or representative may be requested to provide in response to requests. Corporate Records | FINRA.org Information about FINRA's Corporate Records. Corporate Records | FINRA.
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