OTC Equity Security definition

OTC Equity Security means any equity security, other than an NMS Security, subject to prompt last sale reporting rules of a registered national securities association and reported to one of such association’s equity trade reporting facilities.

OTC Equity Security. ’ means any equity security that is not an ‘‘NMS stock’’ as that term is defined in Rule 600(b)(47) of SEC Regulation NMS; provided, however, that the term OTC Equity Security shall not include any Restricted Equity Security. See FINRA Rule 6420.

OTC Equity Security means any equity security that is not an "NMS stock" as that term is defined in Rule 600(b)(47) of Regulation NMS.

Examples of OTC Equity Security in a sentence

• The definition of OTC Equity Security shall also include non-Nasdaq securities as defined in NASD Rule 6710(c) to the extent such securities are not included in the Nasdaq Stock Market nor traded on any national securities exchange nor included in a Transaction Reporting Plan pursuant to SEC Rule 240.11Aa3-1 or SEC Rule 242.601 and direct participation programs as defined in NASD Rule 6910(c) that are subject to the provisions of the NASD Rule 6900 series.

• No member shall display, rank, or accept a bid or offer, an order, or an indication of interest in any OTC Equity Security priced in an increment smaller than $0.0001 if that bid or offer, order or indication of interest is priced less than $1.00 per share except, where an order or indication of interest is priced less than $0.0001, a member may rank or accept (but not display) such order or indication of interest in an increment of $0.000001 or greater.

More Definitions of OTC Equity Security

OTC Equity Security. ’ means any equity security that is not an NMS stock, other than a Restricted Equity Security. See FINRA Rule 6420(f). A ‘‘Restricted Equity Security’’ means any equity security that meets the definition of ‘‘restricted security’’ as contained in Securities Act Rule

OTC Equity Security means any non-exchange-listed security and certain exchange-listed securities that do not otherwise qualify for real-time trade reporting. See FINRA Rule 6420(d).

OTC Equity Security means any equity security that:

OTC Equity Security. ’ means any equity

OTC Equity Security. ’] means any equity security that is not traded on any national securities exchange. [not classified as a ‘‘designated security,’’ for purposes of the Rule 4630 and 4640 Series. This term also includes certain exchange-listed securities that do not otherwise qualify for real-time trade reporting because they are not ‘‘eligible securities’’ as defined in Rule 6410(d).] The term ‘‘non-exchange-listed securities’’ [’OTC Equity Security’] shall not include ‘‘restricted securities,’’ as defined by SEC Rule 144(a)(3) under the Securities Act of 1933, nor any securities designated in the PORTAL Market, the Rule [5300] 6700 Series.

OTC Equity Security means any equity security that is not an "NMS stock" as that term is defined in Rule 600(b)(47)of Regulation NMS.

OTC Equity Security. ’ means any equity 2011–058, available at http://www.finra.org/web/