FINRA

Over-the-Counter-Equities

Trading Halts

Current HaltsTrade Halts Information

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Mkt Ctr Orgin

Halt Code H10 - SEC Trading Suspension
T3 - Resumption
U1 - Foreign Markt/Regulatory Halt
U2 - Component/Derivative of Exchange Listed Issue
U3 - Extraordinary Events

Date/Time Symbol Issue Name Halt Code Mkt Ctr Orgin Action SEC Halt

Trading Halt Column Definitions

Field Name Description
Date/Time Date halt went into effect
Symbol Issue symbol affected by the halt
Issue Name Name of issue affected by the halt
Halt Code Reason Code for the halt
Mkt Ctr Origin Market Center Originator
Action/td> Halt Action
SEC Halt Whether or not this halt is SEC-related

Please note: If a security is halted and subsequently undergoes a symbol change prior to its resumption, the resumption message will reference the new symbol.

Halt Code Definitions

Halt Code Description
D1 Trading Halt - Security Deleted from OTCE.
H10 Trading Halt - SEC Trading Suspension. The Securities and Exchange Commission has suspended trading in the issue until further notice.
T3 Trading Halt Resumption - The time when the issue is released for trading.
U1 Trading Halt - Foreign Regulatory Halt. Trading is halted because the OTC Equity Issue or the issue underlying an American Depository Receipt ("ADR") that is an OTC Equity issue ("OTC ADR") is listed on or registered with a foreign issues exchange or market, and the foreign issues exchange, market, or regulatory authority overseeing such issuer, exchange, or market, has halted trading in such issue for regulatory reasons because of public interest concerns or for news pending.
U2 Trading Halt - Derivative Halt. Trading is halted because the OTC Equity Issue or the issue underlying an OTC ADR is a derivative or component of a issue listed on or registered with a national issues exchange or foreign issues exchange or market ("listed issue") and the national issues exchange, or foreign issues exchange or market has imposed a trading halt in the listed issue
U3 Trading Halt - Extraordinary Event Halt. Trading is halted because FINRA has determined that an extraordinary event has occurred or is ongoing that has had a material effect on the market for the OTC Equity Issue or the issue underlying an OTC ADR or has caused or has the potential to cause major disruption to the marketplace or significant uncertainty in the settlement and clearance process.

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