Proactive and timely monitoring of Promotion and Deficiency data across all listed and OTC securities is a key compliance function, helping mitigate regulatory risk and ensure adherence to market standards.
In Q3 2025
Notional Activity of Promoted Securities:
- 88.9% in Nasdaq securities
- 5.9% in NYSE securities
- 5.08% in NYSE American securities
- 0.3% in OTC Markets traded securities
Deficiencies:
- 9% in NYSE securities
- 7% in NYSE American securities
- 84% in Nasdaq securities
View the data for Q2 2025 and Q1 2025.
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