![]() ![]() Section 202: Reporting Trades With a Non-FINRA Member Section 201: Order Routing, Execution and/or Reporting via Another Member Section 200: Reporting on Behalf of Another Member ("Give-Up" Relationships) ![]() Section 107: Reporting Capacity Reporting Relationships and Responsibilities Section 106: Scope of Reporting Requirements Section 105: Obtaining Security Symbols for Trade Reporting Purposes Section 104: Multiple MPIDs for Trade Reporting Section 103: Trade Comparison and Acceptance Section 102: Timely Submission of Trade Report Information Section 101: Reporting Time, Price and Share Quantity Section 100: Applicable Rules, Definitions and Related Guidance Previous versions of the FAQ are archived:Īny questions regarding trade reporting to a FINRA Facility should be directed to FINRA's Office of General Counsel at (202) 728-8071 or FINRA Market Operations, at (866) 776-0800. To facilitate the transition to the consolidated rulebook, FINRA has created conversion charts that map NASD and incorporated NYSE rules to new FINRA rules and vice versa. See Regulatory Notice 08-57 (October 2008). Effective December 15, 2008, the NASD Marketplace Rules (the NASD Rule 4000 through 7000 Series) were transferred to the consolidated FINRA rulebook as the FINRA Rule 6000 through 7000 Series. ![]() This guidance relates only to the trade reporting rules, as defined in FAQ 100.2 below, and does not address other member obligations under applicable FINRA rules or the federal securities laws, including but not limited to, recordkeeping obligations under SEC Rule 17a-3.Īll references in this FAQ are to FINRA rules. The guidance provided in this FAQ pertains to the reporting of over-the-counter (OTC) transactions in equity securities to a FINRA Facility (a Trade Reporting Facility (TRF), the Alternative Display Facility (ADF) or the OTC Reporting Facility (ORF)). ![]()
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