Series 14: 2.6. Equity Securities Trade Reporting

Taken from our Series 14 Online Guide

2.6. Equity Securities Trade Reporting

FINRA operates several reporting facilities (RFs) where members can report over the counter trades in both NMS and OTC securities. These include the following:

•Over the counter reporting facility (ORF) – Transactions in OTCBB and OTC Link securities are reported to the over the counter reporting facility (ORF).

•FINRA/NASDAQ Trade Reporting Facility (TRF

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