5000. TRADING OTHERWISE THAN ON AN EXCHANGE
This rule is no longer applicable. NASD Rule 5000 has been superseded by FINRA Rule 6110. Please consult the appropriate FINRA Rule.
Members are required to report transactions in exchange-listed securities effected otherwise than on or through a national securities exchange to NASD. For purposes of the 5000 Series, "otherwise than on an exchange" means a trade effected by an NASD member otherwise than on or through a national securities exchange. The determination of what constitutes a trade "on or through" a particular national securities exchange shall be determined by that exchange in accordance with all applicable statutes, rules and regulations, and with any necessary SEC approval.
Amended by SR-NASD-2005-087 eff. Aug. 1, 2006.
5010–5024 — Deleted by SR-NASD-2004-07 eff. Jan. 19, 2004