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All secondary market transactions by members in Direct Participation Program securities other than transactions executed on a national securities exchange shall be reported to FINRA in accordance with the procedures set forth below. All trade tickets shall be time-stamped at the time of execution.
|Deleted by SR-FINRA-2009-061 eff. Nov. 1, 2010.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Amended by SR-NASD-2005-087 eff. Aug. 1, 2006.
Adopted by SR-NASD-96-08 eff. May 15, 1997.
Selected Notices: 97-8, 08-57.