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Technical Notice
FINRA to Continue Practice of Appending “D” to OTC Equity Symbols Subject to Corporate Actions
AUGUST 4, 2015
In a technical notice on Thursday, February 12, 2015, FINRA announced it would extend the practice of appending the letter "D" to the root symbol of all OTC Equity securities subject to a Reverse Split and Forward Split with a CUSIP change for 180 days until Monday, August 17, 2015. In that notice, FINRA also announced it would be assessing alternative methods to identify these securities and would advise the industry in a subsequent notification. The practice of appending "D" had been replaced with the addition of a "Subject to Corporate Action" flag effective Monday, November 17, 2014, as part of the OTC Reporting Facility to FINRA's Multi-Product Platform migration. However, as announced in the ORF technical notice on Wednesday, November 19, 2014, FINRA agreed to reinstate the practice of appending "D" effective Thursday, November 20, 2014, for a 90-day period ending on Thursday, February 19, 2015.
After further review, FINRA will continue the practice of appending "D" as a fifth-character identifier to all OTC Equity symbols of issues subject to a Reverse Split and Forward Split with a CUSIP change, in addition to continuing to use the "Subject to Corporate Action" flag.
For more information, please contact FINRA Market Operations or call (866) 776-0800.
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