Overview
OTC Markets Group provides two file data products tailored for compliance departments:
OTC Compliance Data File
The OTC Compliance Data File (FINOP File) provides subscribers with monthly security and market maker details to facilitate and streamline the preparation of the monthly FOCUS Report. This report provides critical data for calculating OTC equity security haircuts (estimate of potential losses) pursuant to SEC Rule15c3-1 (Net Capital Requirements for Broker-Dealers). Each report contains the following items of information for all OTC securities:
- Trading Symbol
- OTC Market Tier (including Caveat Emptor Status)
- Monthly volume
- Number of Market Makers
- Market Maker ID
- Last Sale, Closing inside Bid and Ask prices
The FINOP Report is currently created by request only and is specific to the respective broker-dealer.
OTC Quote History Data File
OTC Quote History Data File is a daily file of historical Pink Sheets® data consisting of all Inside and market maker quotations published on OTC Link for OTCQX, OTCQB, and OTC Pink securities. Customers subscribe to OTC Quote History to perform a number of required internal and external functions, including: best execution analysis, current and historical record keeping and regulatory compliance. The product contains the following OTC security and market maker information:
- Date
- Trading Symbol
- Security Issue Name
- Market Participant ID
- Quote Type
- Trader ID
- Price
- Size
- Time
This service is available daily via FTP or monthly basis via CD.
