OTC Compliance Data

Overview

The OTC Compliance Data File provides broker-dealers and compliance/risk mitigation teams with important data points on 10,000 OTCQX, OTCQB, and Pink U.S. and global securities. The OTC Compliance Data File, delivered daily in pipe-delimited format, provides details on key compliance data points, and simplifies the process of identifying securities that are compliant under the SEC Penny Stock Rule and FINRA's OTC Recommendation rule. Key fields include:

  • Reporting status (SEC Filer, Bank Reporting, Alternative Reporting Standard)
  • Shell status
  • Audited financials status
  • Number of market participants quoting
  • Bankruptcy status and recent split data

The OTC Compliance Data File also includes important security attribute information which is unique to public securities traded off the exchanges.

  • The three markets: OTC Markets Group categorizes 10,000 U.S. and global securities into tiered markets - OTCQX, OTCQB, Pink - to help investors determine whether a company has made its company information publicly available in a timely manner. More information on our markets >
  • Caveat Emptor – An OTC Markets Group designation that notes if there is a public interest concern associated with the company. More information on Caveat Emptor >
Looking for end of day quote & trade data? Check out the End-of-Day Data File.

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