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This rule is no longer applicable. NASD Rule 7040 has been superseded by FINRA Rule 7740. Please consult the appropriate FINRA Rule.
| Number of fields of information in the report | |||
| 1–10 | 11–15 | 16 or more | |
| A. Issues Summary Statistics | |||
| For a security for a day |
$10 |
$15 |
$20 |
| For a security for a month, quarter, or year |
$20 |
$30 |
$40 |
| For all issues for a day |
$50 |
$75 |
$100 |
| For all issues for a month, quarter, or year |
$100 |
$150 |
$200 |
| B. Intra-Day Quote and Intra-Day Time and Sales Data | |||
| For a security and/or a market participant for a day | $15 | $25 | $35 |
| For all market participants for a day or for all securities for a day |
$30 |
$40 |
$50 |
| (For purposes of this report, market participants are those entities qualified to participate in the OTC Bulletin Board Service pursuant to NASD Rule 6540(a) and (b)). | |||
| C. NASD may, in its discretion, choose to make a report that purchasers wish to obtain every trading day available on a subscription discount basis. In such cases, the price for a subscription to receive a report every trading day in a month shall be the applicable rate to receive the report for a day times 20; the price for a subscription to receive the report for every trading day in a quarter shall be the applicable rate to receive the report every day times 60; and the price for a subscription to receive a report every trading day in a year shall be the applicable rate to receive the report for a day times 240. | |||
| D. All OTCBB Issuers Directory | $250 | ||
|
Amended and renumbered as Rule 7040 by SR-NASD-2007-018 eff. March 5, 2007. Amended by SR-NASD-2005-089 eff. Oct. 1, 2005. Amended by SR-NASD-2004-036 eff. May 17, 2004. Amended by SR-NASD-2002-122 eff. Sept 18, 2002. Amended by SR-NASD-2001-059 eff. Nov. 26, 2001. Adopted as Rule 7010(q) by SR-NASD-99-70 eff. Jan 14, 2000. |