US Equities OTC Market Compliance Data

US Equities OTC Market Compliance Data
Production
·

Data Class

Equity

Data Type

EOD

Delivery Method

CSV

Vendor

algoseek

Region

US

Documentation

Open Link

The US Equities OTC Market Compliance Data covers the full universe of the OTC securities in the US Equity market (~22k), providing basic data fields such as ticker and security name; describing 'penny stock' status, and noting applicable OTC recommendation rule exemptions. It also offers other key OTC compliance fields such as OTC marketplaces, OTC Tier, Caveat Emptor, Company Reporting Standard, Shell Status, Shares Outstanding, and Number of Market Participants. The dataset is supplemented by the FIGI code for convenient identification of securities.

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Reference Data Penny Stocks Tier Classification OTC Markets Compliance Data Caveat Emptor
Dataset Info
Dataset Name ID
eq_otc_market_compliance
Algoseek Dataset ID
US1024
Data Format
Reference
Data Class
Equity
Data Type
EOD
Time Granularity
Daily
Region
US
Universe
All stocks, ETFs/ETNs from US exchanges
Version
1.0
Update Frequency Options
End of day
 Introductory Demo Info
Start Date
11/01/2024
End Date
12/31/2024
Access Methods
SQL,CSV
Description
Two months of data (Nov - Dev 2024) for the full universe of symbols
 Historical Info
Data Size
996 MB / year
Update Size
2 MB
Update Frequency
1 Day
Start Date
2024-11-01
End Date
Ongoing

SQL (ArdaDB)

Easily connect to your data using SQL with a database connection. No complex setup, just instant access to your data - run queries, retrieve insights, and manage data effortlessly. Secure, fast, and built for developers, analysts, and teams who need reliable access without the hassle.
Delivery Info
Data Fields
Preview Data
# name data type description

CSV (S3)

Easily connect to your data stored in S3 and access CSV files without hassle. Streamline data retrieval with fast, secure, and scalable access, whether for analytics, processing, or integration.
Delivery Info
S3 Bucket Name
us-equity-otc-market-compliance-yyyy
Update Time
06:30 ET
S3 Bucket Path
yyyymmdd_AM.csv.gz
S3 Bucket Path Description
One yyyymmdd_AM.csv.gz file per trading day where yyyymmdd_AM is year, month, day and period
S3 Start Year
2024
S3 End Year
N/A
S3 Bucket Size
996 MB / year
Sample Data File
Sample data for Nov 24, 2024
Data Fields
Preview Data
# name data type description
1 TradeDate String File creation date
2 SecId Integer OTC Markets Group unique identifier for security
3 CompId Integer OTC Markets Group unique company identifier for security
4 Ticker String US markets symbol
5 FIGI String The current FIGI code of the security
6 ShareClassFIGI String The current global FIGI code of the security
7 CompanyName String Company Name
8 SecurityName String Security Name
9 Venue String US trading venue
10 SecurityType String Security Type (e.g. common, unit, warrant)
11 SecurityClass String Security Class
12 CaveatEmptor String Caveat Emptor (Buyer Beware) Flag (Y/N)
13 OTCTier String OTC Market Tier - tier details outlined in appendix
14 OTCTierId Integer OTC Tier identifier
15 ReportingStandard String Company reporting standard
16 SecurityStatus String Security Status
17 ProprietaryQuoteEligible String Security is eligible for proprietary quoting under SEC Rule 15c2-11
18 PennyStockExempt String Notes whether the security is exempt from being classified as a penny stock under SEC Rule 3a51-1 Y = Penny Stock exempt N = Does not qualify for any of the exemptions under Rule 3a51-1
19 PSPriceExemption String If the security has a closing inside bid price of >= $5 then the security is exempt from being classified as a penny stock. Inside bid price requires 2 priced quotes to be valid. Y = Price Exemption N = Does not qualify for Price Exemption. If security type = Unit then the closing inside bid divided by the number of common stock within the unit must be >= $5. In addition, any warrants or rights within the unit must have an exercise price >= $5. If security type = ADR, GDR or NYRS then the inside bid divided by the DR: Ordinary ratio must be > = $ 5
20 PreviousClosingInsideBid Decimal Closing Inside Bid on previous trading day. 2 priced quotes required for a closing bid
21 PreviousLastTrade Decimal Previous Last Sale for security
22 InvestmentCompanyExemption String If the issuer (company) is an investment company registered under the Investment Company Act of 1940 then the security is automatically exempt from being classified as a penny stock. Y = Investment Company Exemption. N = Does not qualify for Investment Company Exemption
23 PSQualifiedFinancials String IF OTC Markets does not have access to the required financials data in order to properly note the Net Tangible Asset or Average Revenue exemptions then value = N. Y = Required Financial Data Available. N = Required Financial Data Not Available
24 NetTangibleAssetsExemption String If the issuer has been in continuous operation for at least 3 years and has Net tangible assets (i.e., total assets less intangible assets and liabilities) in excess of $2,000,000, or if the issuer has been in continuous operation for less than 3 years and has Net Tangible Assets of $5,000,000 the associated securities are exempt from being classified as a penny stock. Y = Net Tangible Assets Exemption. N = Does not qualify for Net Tangible Assets Exemption. Note: Above logic depends on qualified financial data being available. See Qualified Financial Data Available Field.
25 NetTangibleAssets Integer $ value of most recent annual Net Tangible Assets
26 NetTangibleAssetsPED String Period End Date of NTA value
27 AverageRevenueExemption String If the issuer's mean revenue for the trailing 3 years >= $6 Million then the associated securities are exempt from being classified as a penny stock. Y = Average Revenue Exemption. N = Does not qualify for Average Revenue Exemption. Note: Above logic depends on qualified financial data being available. See Qualified Financial Data Available Field.
28 AverageRevenue Integer $ value of Average Revenue for past 3 years
29 OTCRecRuleExempt String If any of the OTC Recommendation Rule exemption = Y then value = Y ELSE value = N. Note: The exemption flag only applies to the exemptions noted below. It is possible that other exemptions noted in FINRA Rule 2114 apply (e.g. transaction level exemptions).
30 OTCRecRulePriceExemption String If the security has a closing inside bid price of > = $50 then the security is exempt from the OTC Recommendation Rule. Inside bid prices requires 2 priced quotes to be valid. Y = Price Exemption. N = Does not qualify for Price Exemption. If security type = Unit then the closing inside bid divided by the number of common stock within the unit must be > = $50. If security type = ADR, GDR or NYRS then the closing last trade or inside bid divided by the DR: Ordinary ratio must be > = $ 50. Previous Day Closing Bid Price noted above.
31 OTCRecRuleQualifiedFinancials String IF OTC Markets does not have access to the required financials data in order to properly note Asset/Shareholder Equity exemption then value = N. Y = Required Financial Data Available. N = Required Financial Data Not Available
32 OTCRecRuleAssetExemption String If the issuer has > = $50 Million in Total Assets AND > = 10 Million in Shareholder Equity for the most recent financial statements then the associated securities are exempt from the OTC recommendation rule. Y = Asset/Shareholder Equity Exemption. N = Does not qualify for Asset/Shareholder Equity Exemption
33 TotalAssets Integer $ Value of Total Assets for most recent annual financial statement
34 ShareholderEquity Integer $ Value of Shareholder Equity most recent annual financial statement
35 LastBalanceSheetPED String Date of most recent annual Balance Sheet
36 LastIncomeStatementPED String Date of most recent annual Income Statement
37 OTCRecRuleBankExemption String If the issuer is a bank or insurance company, then the associated securities are exempt from the OTC recommendation rule. Y = Bank/Insurance Exemption. N = Does not qualify for Bank/Insurance Exemption
38 144AInformationAvailable String If Issuer is exempt from reporting under Rule 12g3-2b or if current financial information is available for the issuer then value = Y else value = N. Y = Exempt or Required Financial Data Available. N = Required Financial Data Not Available
39 144A12g32bExemption String Y = Exempt under Rule 12g3-2b, N = Not Exempt under Rule 12g3-2b
40 144AFinancialDataExemption String If current Financial information is available then value = Y else value = N. Y = Current Financial Information Available. N = Current Financial Information Not Available
41 LastAnnualBalanceSheetPED String Date of most recent annual Balance Sheet
42 FiscalYearEnd String Fiscal year end data in format of ddmm
43 FilingCycle String Filing cycle of company
44 LastReportDate String Date of last 10K, Q, 8K or Alternative Report
45 LastReportType String Type of last report
46 12g32bExemptStatus String Flag noting whether company is exempt from SEC Reporting under Rule 12g3-2b
47 Bankruptcy String Flag noting whether company is in bankruptcy
48 Shell String Flag noting whether the company is a shell company
49 BankThrift String Flag noting whether the company is either a bank/thrift or non-bank regulated company (e.g. insurance)
50 AuditedFinancials String Flag noting whether the company's financials are Audited
51 MarketParticipants Integer Number of broker-dealers quoting the security
52 20DayAvgVolume Integer Mean share volume for past 20 trading days
53 30DayAvgVolume Integer Mean share volume for past 30 trading days
54 LastSplitDate String Last date of forward or reverse share dividend (split)
55 LastSplitRatio Decimal Share amount per 1 share of stock pre-split. Numbers > 1 = forward split. Number < 1 = reverse split.
56 LastSplitComments String Text comments relating to respective split
57 PreviousSplitDate String Previous date of forward or reverse share dividend (split)
58 PreviousSplitRatio Decimal Share amount per 1 share of stock pre-split. Numbers > 1 = forward split. Number < 1 = reverse split.
59 PreviousSplitComments String Text comments relating to previous split
60 HomeMarketTradingTicker String Home market symbol for foreign securities (e.g. F shares, ADRs)
61 HomeMarketTradingVenue String Home market trading venue for foreign securities
62 HomeMarketTradingVenueTier String Home market trading venue tier. A venue tier is a subset of the main venue. For example the LSE AIM market.
63 SharesOutstanding Integer Shares outstanding for respective security
64 SharesOutstandingAsOfDate String Shares outstanding as of date
65 TransferAgentVerified String Flag noting if shares outstanding data is received directly from Transfer Agent
66 CompanyProfileVerified String Flag noting if company profile data (e.g. description, officers, directors etc) is verified by the issuer. Verified data may not be more than six months old. See Company Profile Verified as of date field.
67 CompanyProfileVerifiedAsOfDate String Profile verification as of date
68 TransferAgent String Transfer Agent(s) associated with security. If multiple transfer agents are associated with security they will be separated by a semi-colon.
69 TierAbbreviation String The tier abbreviation field supplies the 2 letter abbreviation associated with respective security’s OTC Tier
70 UNSQuoteOnly String Notes whether the security may only be quoted Unsolicited on OTC Link ATS (Y/N Flag)
71 OTCLinkECNEligibleFlag String Notes whether the security is eligible for OTC Link ECN (Y/N)
72 DisclosureStatus String Issuer Disclosure Status
73 ProprietaryQuoteEligibleEntryReasonCodes String Notes 15c-211 compliance basis for Proprietary Quote Eligibility. Multiple reason codes (integer(s)) are possible and will be delimited with a semi-colon (;). See Table 6 for Reason Code mapping and descriptions and applicable rule sections.
74 DeterminationDates String Notes determination date(s) for Proprietary Quote Eligibility Reason Code(s). Multiple dates are possible and will be delimited with a semi-colon(;). Dates will correlate to order of PQE Reason Codes.
75 GracePeriod String Notes if security is in Grace Period for Rule 15c-211 compliance
76 GracePeriodAnticipatedEndDate String Notes anticipated final date of Grace Period for Rule 15c-211. If no change to 15c-211 compliance status prior to end date the security will lose Proprietary Quote Eligible status on following trading day.
77 211ShellFlag String Notes if issuer is a shell company under rule 15c2-11
78 211ShellAsOfDate String Date of initial proprietary quote for security (regardless of shell status). As of date is basis for 18 month limited application of piggyback exemption. Post 18 month timeframe (and continued 211 Shell flag = Y) the security will not qualify for piggyback exemption and may lose proprietary quote eligibility.
79 211ShellDaysRemaining Integer Number of days remaining on 18 month shell timeframe for piggyback exemption. If 18 month shell timeframe for piggyback exemption has expired, then value will be null.