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5130. Obligation to Provide Information

This rule is no longer applicable. NASD Rule 5130 has been superseded by FINRA Rule 6150. Please consult the appropriate FINRA Rule.

(a) An NASD member operating in or participating in any NASD system or facility shall provide information orally, in writing, or electronically (if such information is, or is required to be, maintained in electronic form) to the staff of NASD when NASD staff makes an oral, written or electronically communicated request for information relating to a specific NASD rule, SEC rule, or provision of a joint industry plan (e.g., UTP, CTA, CQA and ITS) (as promulgated and amended from time-time).
(b) A failure to comply in a timely, truthful and/or complete manner with a request for information made pursuant to this rule may be deemed conduct inconsistent with just and equitable principles of trade.
Adopted by SR-NASD-2006-104 eff. Feb. 12, 2007.

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