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This rule is no longer applicable. NASD Rule 4100 has been superseded by FINRA Rule 6310A. Please consult the appropriate FINRA Rule.
Members may use the NASD/Nasdaq Trade Reporting Facility to report transactions executed otherwise than on an exchange in all NMS stocks as defined in SEC Rule 600(b)(47) ("designated securities"). Members that use the NASD/Nasdaq Trade Reporting Facility must comply with the 4000 and 6100 Series, as well as all other applicable rules. The Rule 4000 Series shall apply only to members using the NASD/Nasdaq Trade Reporting Facility.
Amended by SR-NASD-2006-104 eff. March 5, 2007.
Amended by SR-NASD-2006-087 eff. Aug. 1, 2006.
Adopted by SR-NASD-2005-087 eff. Aug. 1, 2006.