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Kyo

09/26/14 1:12 AM

#248189 RE: bucktooth #248188

This seems to be the correct answer. I got curious so I dug up.

Question 7

Q: What are "Section 13(f) securities"?
A:
.....
The Official List of Section 13(f) Securities primarily includes U.S. exchange-traded stocks (e.g., NYSE, AMEX, NASDAQ), shares of closed-end investment companies, and shares of exchange-traded funds (ETFs).
......

http://www.sec.gov/divisions/investment/13ffaq.htm

And OTC is not an stock exchange.