Skip to main content

For updates and guidance related to COVID-19 / Coronavirus, click here.

4100C. GENERAL

This rule is no longer applicable effective Jan. 1, 2009.

Members may use the NASD/NSX Trade Reporting Facility to report transactions executed otherwise than on an exchange in all NMS stocks as defined in Rule 600(b)(47) of Regulation NMS under the Act ("designated securities"). Members that use the NASD/NSX Trade Reporting Facility must comply with the Rule 4000C and 6000C Series, as well as all other applicable rules. The Rule 4000C and 6000C Series shall apply only to members using the NASD/NSX Trade Reporting Facility.
Adopted by SR-NASD-2006-108 eff. Nov. 27, 2006.

No Results Found

No Results Found

No Results Found

No Results Found