For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
This rule is no longer applicable. NASD Rule 7002B has been superseded by FINRA Rule 7620A. Please consult the appropriate FINRA Rule.
| Transaction Related Charges: | |
| Reporting of transactions in Nasdaq-listed securities not subject to comparison through the NASD/Nasdaq Trade Reporting Facility | No charge |
| Reporting of transactions in stocks reported to the Consolidated Tape Association not subject to comparison through the NASD/Nasdaq Trade Reporting Facility ("CTA Covered Transactions") | |
| Average daily volume of media transaction reports for CTA Covered Transactions during the month that are submitted or introduced by such participant to the NASD/Nasdaq Trade Reporting Facility, in which the participant is identified as the reporting party: | Fee per side for reports of CTA Covered Transactions to which such participant is a party: |
| 0 to 5,000 | $0.029 |
| More than 5,000 |
$0.029 for a number of reports equal to 5,000 times the number of trading days in the month $0.00 for all remaining reports |
| Reporting of all other transactions not subject to comparison through the NASD/Nasdaq Trade Reporting Facility | $0.029/side |
| Clearing report to transfer a transaction fee charged by one member to another member pursuant to Rule 6130(h) | $0.03/side |
| Comparison | $0.0144/side per 100 shares (minimum 400 shares; maximum 7,500 shares) |
| Late Report—T+N | $0.288/side |
| Query | $0.50/query |
| Corrective Transaction Charge | $0.25/Cancel, Error, Inhibit, Kill, or ‘No' portion of No/Was transaction, paid by reporting side; $0.25/Break, Decline transaction, paid by each party |
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Amended by SR-NASD-2007-051 eff. Aug. 1, 2007. Adopted by SR-NASD-2006-090 eff. Aug. 1, 2006. |