For updates and guidance related to COVID-19 / Coronavirus, click here.
4630A. Reporting Transactions in ADF-Eligible Securities
This rule is no longer applicable. NASD Rule 4630A has been superseded by FINRA Rule 6281. Please consult the appropriate FINRA Rule.
This Rule 4630A Series governs the reporting by members of transactions in of ADF-eligible securities through NASD's Trade Reporting and Comparison Service ("TRACS"). Transactions executed otherwise than on an exchange must be reported to ADF TRACS, in accordance with Rule 4632A or other pertinent NASD Rule, unless they are reported to another reporting facility designated by the Securities and Exchange Commission as being authorized to accept trade reports for trades executed otherwise than on an exchange. Participation in the trade reporting function of TRACS is conditioned upon (a) execution of, and continuing compliance with, a TRACS trade reporting Participant Application Agreement and (b) maintenance of the physical security of the equipment on the premises of the member to prevent unauthorized entry of information into the trade reporting function of TRACS.
Amended by SR-NASD-2006-091 eff. March 5, 2007.
Amended by SR-NASD-2005-087 eff. Aug. 1, 2006.
Adopted by SR-NASD-2002-97 eff. July 29, 2002.