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6320B. Definitions

(a) For purposes of the Rule 6300B Series, unless the context requires otherwise:
(1) "Exchange Act" or "SEA" means the Securities Exchange Act of 1934.
(2) "Designated securities" means all NMS stocks as defined in Rule 600(b) of SEC Regulation NMS.
(3) "Member" means a broker or dealer admitted to FINRA membership.
(4) "Market Maker" means an "exchange market maker" or "OTC market

6310B. General

Members may use the FINRA/NYSE Trade Reporting Facility to report transactions executed otherwise than on an exchange in all NMS stocks as defined in Rule 600(b) of SEC Regulation NMS ("designated securities"). Members that use the FINRA/NYSE Trade Reporting Facility must comply with the Rule 6300B and 7200B Series, as well as all other applicable rules.

6380A. Transaction Reporting

(a) When and How Transactions are Reported
(1) Trade Reporting Facility Participants shall, as soon as practicable but no later than 10 seconds after execution, transmit to the FINRA/Nasdaq Trade Reporting Facility or if the FINRA/Nasdaq Trade Reporting Facility is unavailable due to system or transmission failure, by telephone to the FINRA/Nasdaq Trade Reporting Facility Operations Department, last sale reports of transactions in designated securities executed during normal market hours.

6340A. Reports

A Trade Reporting Facility Participant shall make such reports to FINRA as may be prescribed from time to time by FINRA.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by SR-NASD-2005-087 eff. Aug. 1, 2006.

Selected Notice: 08-57.

6320A. Definitions

(a) For purposes of the Rule 6300A Series, unless the context requires otherwise:
(1) "Exchange Act" or "SEA" means the Securities Exchange Act of 1934.
(2) "Designated securities" means all NMS stocks as defined in Rule 600(b) of SEC Regulation NMS.
(3) "Member" means a broker or dealer admitted to FINRA membership.
(4) "Market Maker" means an "exchange market maker" or "OTC market maker," as those terms a
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