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This rule is no longer applicable. NASD Rule 7010A has been superseded by FINRA Rule 7510. Please consult the appropriate FINRA Rule.
| Transaction Related Charges: | |
|
Comparison |
$0.014/side per 100 shares (minimum 400 shares; maximum 7,500 shares) |
|
Automated Give-Up |
$0.029/side(if the associated publicly disseminated trade is not reported to the media through the ADF) |
|
Qualified Special Representative |
$0.029/side (if the associated publicly disseminated trade is not reported to the media through the ADF) |
|
Late Report — T+N |
$0.30/side unless the trade is executed outside normal ADF operating hours of 8:00 a.m. to 6:30 p.m. and the member's average publicly disseminated trades reported to the media through the ADF per day during the billing period is 150,000 or greater |
|
Corrective Transaction Charge |
$0.25/ Break, Decline, Reversal transaction, paid by each party |
|
Average Trades Reported through the ADF Per Day |
Quotation Update Charge |
Quotes Updates Provided at No Charge |
|
Less than 1 |
$.02 per quotation update |
None |
|
Between 1 and 100,000 |
$.01 per quotation update |
5 quotation updates per trade |
|
Between 100,001 and 125,000 |
$.005 per quotation update |
20 quotation updates per trade |
|
Between 125,001 and 150,000 |
$.005 per quotation update |
25 quotation updates per trade |
|
Greater than 150,000 |
No Charge |
N/A |
|
Amended by SR-NASD-2007-017 eff. Feb. 1, 2007. Amended by SR-NASD-2003-09 eff. Jan. 30, 2003. Adopted by SR-NASD-2002-97 eff. July 29, 2002. |