6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES
- 6100. QUOTING AND TRADING IN NMS STOCKS
- 6110. Trading Otherwise than on an Exchange
- 6120. Trading Halts
- 6121. Trading Halts Due to Extraordinary Market Volatility
- 6130. Transactions Related to Initial Public Offerings
- 6140. Other Trading Practices
- 6150. Obligation to Provide Information
- 6151. Disclosure of Order Routing Information for NMS Securities
- 6160. Multiple MPIDs for Trade Reporting Facility Participants
- 6170. Multiple MPIDs for Alternative Display Facility Participants
- 6180. Transaction Reporting
- 6181. Timely Transaction Reporting
- 6182. Trade Reporting of Short Sales
- 6183. Exemption from Trade Reporting Obligation for Certain Alternative Trading Systems
- 6184. Transactions in Exchange-Traded Managed Fund Shares ("NextShares")
- 6190. Compliance with Regulation NMS Plan to Address Extraordinary Market Volatility
- 6191. Compliance with Regulation NMS Plan to Implement a Tick Size Pilot Program
- 6200. ALTERNATIVE DISPLAY FACILITY
- 6210. General
- 6220. Definitions
- 6230. Use of Alternative Display Facility Data Systems
- 6240. Prohibition from Locking or Crossing Quotations in NMS Stocks
- 6250. Quote and Order Access Requirements
- 6260. Review of Direct or Indirect Access Complaints
- 6270. Quoting and Trading in ADF-Eligible Securities
- 6271. Registration as an ADF Market Maker or ADF ECN
- 6272. Character of Quotations
- 6273. Normal Business Hours
- 6274. Clearance and Settlement
- 6275. Withdrawal of Quotations
- 6276. Voluntary Termination of Registration
- 6277. Suspension and Termination of Quotations by FINRA Action
- 6278. Termination of Alternative Display Facility Data System Service
- 6279. Alternative Trading Systems
- 6280. Transaction Reporting
- 6281. Reporting Transactions in ADF-Eligible Securities
- 6282. Transactions Reported by Members to the ADF
- 6300. TRADE REPORTING FACILITIES
- 6300A. FINRA/NASDAQ TRADE REPORTING FACILITIES
- 6300B. FINRA/NYSE TRADE REPORTING FACILITY
- 6400. QUOTING AND TRADING IN OTC EQUITY SECURITIES
- 6410. General
- 6420. Definitions
- 6430. OTC Equity Quotation Requirements
- 6431. Recording of Quotation Information
- 6432. Compliance with the Information Requirements of SEA Rule 15c2-11
- 6433. Minimum Quotation Size Requirements For OTC Equity Securities
- 6434. Minimum Pricing Increment for OTC Equity Securities
- 6435. Withdrawal of Quotations in an OTC Equity Security in Compliance with SEC Regulation M
- 6437. Prohibition from Locking or Crossing Quotations in OTC Equity Securities
- 6438. Displaying Priced Quotations in Multiple Quotation Mediums
- 6439. Requirements for Member Inter-Dealer Quotation Systems
- 6440. Trading and Quotation Halt in OTC Equity Securities
- 6450. Restrictions on Access Fees
- 6460. Display of Customer Limit Orders
- 6470. Disclosure of Order Routing Information for OTC Equity Securities
- 6480. Multiple MPIDs for Quoting and Trading in OTC Equity Securities
- 6490. Processing of Company-Related Actions
- 6600. OTC REPORTING FACILITY
- 6700. TRADE REPORTING AND COMPLIANCE ENGINE (TRACE)
- 6710. Definitions
- 6720. Participation in TRACE
- 6730. Transaction Reporting
- 6731. Exemption from Trade Reporting Obligation for Certain Alternative Trading Systems
- 6732. Exemption from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System
- 6740. Termination of TRACE Service
- 6750. Dissemination of Transaction Information
- 6760. Obligation To Provide Notice
- 6770. Emergency Authority
- 6800. CONSOLIDATED AUDIT TRAIL COMPLIANCE RULE
- 6810. Definitions
- 6820. Clock Synchronization
- 6830. Industry Member Data Reporting
- 6840. Customer Information Reporting
- 6850. Industry Member Information Reporting
- 6860. Time Stamps
- 6865. Time Stamp and Clock Synchronization Rule Violations
- 6870. Connectivity and Data Transmission
- 6880. Development and Testing
- 6890. Recordkeeping
- 6893. Timely, Accurate and Complete Data
- 6895. Compliance Dates
- 6898. Consolidated Audit Trail—Fee Dispute Resolution
- Regulatory Notice 08-57October 16, 2008