Each member shall submit trade data specified in Rule 8211 in automated format as may be prescribed by FINRA from time to time with respect to any transaction or transactions involving non-exchange-listed securities as defined in the Rule 6400 Series that are the subject of a request for information made by FINRA. Pursuant to the Rule 9600 Series, FINRA may exempt a member from the requirement
(a) A member shall submit the trade data specified below in automated format as may be prescribed by FINRA from time to time. This information shall be supplied with respect to any transaction or transactions that are the subject of a request for information made by FINRA.
(b) If the transaction was a proprietary transaction effected or caused to be effected by the member for any account in
(a) Unless otherwise provided, terms used in the Rule 8000 Series shall have the meaning as defined in Rule 0160.
(b) The term "Adjudicator" shall have the meaning as defined in Rule 9120.
Amended by SR-FINRA-2012-007 eff. Feb. 21, 2012.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Amended by SR-NASD-97-28 eff. Aug. 7, 1997.
Amended by SR-NASD-95-39
Members shall make available a current copy of the FINRA Manual for examination by customers upon request. Members may comply with this Rule by maintaining electronic access to the FINRA Manual and providing customers with such access upon request.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Amended by SR-NASD-97-81 eff. Jan. 16, 1998.
Amended by SR-NASD-97-28 eff.
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8100.
(a) Transaction Related Charges
The following charges shall be paid by the participant for trade reporting to the OTC Reporting Facility. In the case of trades where the same market participant is on both sides of a trade report, applicable fees assessed on a "per side" basis will be assessed once, rather than twice, and the market participant will be assessed applicable charges
(a) Under the terms of the business arrangement establishing the FINRA/NYSE Trade Reporting Facility, NYSE Market (DE), Inc. (“NYSE Market”), as the Business Member, has a non-exclusive, irrevocable, worldwide, perpetual, royalty-free right and license to use covered market data, consistent with all applicable laws, rules and regulations. NYSE Market, as the Business Member, has a contractual
