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, 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.

Examples of OTC Equity Security in a sentence

• Unpriced Bids and Offers FINRA receives from ATSs that trade OTC Equity Securities certain unpriced bids and offers for each OTC Equity Security traded on the ATS.

• FINRA receives from ATSs that trade OTC Equity Securities certain unpriced bids and offers for each OTC Equity Security traded on the ATS.

• In addition, allowing FINRA to extend an Extraordinary Event Halt for subsequent periods of up to ten business days will help allow for resolution of the event before trading and quoting in the OTC market for the OTC Equity Security resumes.

• Therefore, the Commissionsecurity that is not an ‘‘NMS stock’’ as that term isdefined in Rule 600(b)(47) of SEC Regulation NMS;9 See Securities Exchange Act Release No. 70839 provided, however, that the term OTC Equity Security shall not include any Restricted Equity Security.

• Further, FINRA notes that, where investors look to feeds that solely disseminate OTCBB data for quotation information on a particular OTC Equity Security, investors mistakenly may conclude that there are no current quotations in the security (when, in fact, there may be numerous quotations available elsewhere ― i.e., on member-operated inter-dealer quotationsystems).

More Definitions of OTC Equity Security

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 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 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 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 SEC Regulation NMS; provided,