Notice of NASD Hotline for Regulation NMS Questions

July 5, 2007


On July 9, 2007, the Regulation NMS Pilot Stocks Phase will begin and new trade reporting requirements under certain NASD rules consistent with Regulation NMS will become effective. To assist members in complying with their obligations under NASD rules and Regulation NMS, FINRA has established a temporary hotline that members and other interested parties can use to contact FINRA staff with questions concerning SEC Rules 610 and 611 of Regulation NMS, as well as FINRA trade reporting requirements relating to Regulation NMS.

The Regulation NMS hotline will be available July 9 and 10 from 9 am to 5 pm: (866) 794-5857.