Series 24: 5.10.3.2. Quote Activity Records

Taken from our Series 24 Online Guide

5.10.3.2. Quote Activity Records

An OTC market maker must keep a record of each quotation or indication of interest that it displays on an inter-dealer quotation system such as OTC Link. This quote activity record must include:

• Which inter-dealer quotation system was used

• The security’s name and symbol

• The time the quotation was displayed (in hours, minutes,

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