Series 14: 2.5. Equity Securities Trade Reporting

Taken from our Series 14 Online Guide

2.5. Equity Securities Trade Reporting

FINRA operates several reporting facilities (RFs) where members can report over-the-counter trades in both NMS and OTC securities. These include the following:

• Over-the-counter reporting facility (ORF) – Transactions on OTC Link are reported to ORF.

• FINRA/Nasdaq Trade Reporting Facility (TRF) – Nasdaq securities tha

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