8213. Automated Submission of Trading Data for Non-Exchange-Listed Securities Requested by FINRA
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 that the data prescribed in paragraphs (b) through (d) of Rule 8211 be submitted to FINRA in an automated format for good cause shown.
|Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Amended by SR-NASD-2005-087 eff. Aug. 1, 2006
Amended and renumbered by SR-NASD-97-81 eff. Jan. 16, 1998.
Adopted eff. Feb. 13, 1989.
Selected Notices: 90-29, 08-57.
- Regulatory Notice 19-33October 01, 2019
- Regulatory Notice 18-04January 29, 2018
- Regulatory Notice 17-05February 01, 2017
- Regulatory Notice 16-24July 14, 2016
- Regulatory Notice 15-44November 06, 2015
- Regulatory Notice 13-38November 01, 2013
- Regulatory Notice 13-16April 17, 2013
- Regulatory Notice 12-36July 18, 2012
- Regulatory Notice 12-47October 31, 2012
- Regulatory Notice 11-56December 13, 2011
- Regulatory Notice 09-18March 30, 2009