4100E. GENERAL

Members may use the NASD/NYSE Trade Reporting Facility to report transactions executed otherwise than on an exchange in all NMS stocks as defined in Rule 600(b)(47) of Regulation NMS under the Act ("designated securities"). Members that use the NASD/NYSE Trade Reporting Facility must comply with the Rule 4000E and 6000E Series, as well as all other applicable rules. The Rule 4000E and 6000E Series shall apply only to members using the NASD/NYSE Trade Reporting Facility.