Tag Archives: FINRA

FAQs for Companies and Investors

How are trading symbols assigned?

FINRA assigns all trading symbols for companies trading on our marketplaces. Any security that does not already have a symbol will be assigned one when FINRA clears the Form 211. FINRA does not permit issuers or broker-dealers to choose trading symbols but may offer voluntary symbol changes for a fee. To request a symbol change, a company must contact FINRA Operations at +1 866-776-0800.

Can companies get “delisted” from the OTCQX, OTCQB and OTC Pink marketplaces?

The only way to remove a company from the OTCQX, OTCQB and OTC Pink marketplaces is for all of the broker-dealers to stop quoting it. Companies are required to contact FINRA Operations if their securities no longer exist, but are still being quoted. FINRA will investigate and, if appropriate, eliminate the trading symbol and inform OTC Markets Group that they have done so. OTC Markets Group will then remove the quotations in this security.

How do companies change their trading symbol or name?

The company should contact FINRA’s Operations Department at +1 866-776-0800 in order to change its trading symbol or name.