+12 Finra Notice On Using Equity In Home To Buy Securities Ideas. 2) according to the notice, finra rules define “otc equity securities” as “any equity security that is not an nms stock, other than a restricted equity security.” restricted equity. Last year, finra took several steps to engage with its members regarding their current and planned.

Firms when they engage in quoting otc equity securities. This rule states that members should consider. Finra reminded firms to be mindful of compliance requirements when initiating a quote in an otc security and when filing required forms.