6732. Reporting Debt and Equity Transactions in PORTAL Securities

This rule is no longer applicable. NASD Rule 6732 has been superseded by FINRA Rule 6633. Please consult the appropriate FINRA Rule.

(a) Transactions in a PORTAL equity security shall be reported to the OTC Reporting Facility in accordance with this Rule. Each PORTAL transaction report on a PORTAL equity security shall:

(1) include the information required by paragraph (d) of Rule 6620(c), including the time of execution;

(2) be submitted to the OTC Reporting Facility no later than 6:30 p.m. Eastern Time (or the end of the OTC Reporting Facility reporting session that is in effect at that time); and

(3) be submitted by the party as required by Rule 6620(b).

(b) Transactions in PORTAL debt securities shall be reported to the Trade Reporting And Compliance Engine Service in accordance with the Rule 6200 Series.

(c) The reporting requirements of this Rule shall apply to transactions in reliance on SEC Rule 144 and sales to or purchases from a non-U.S. securities market.

(d) Members that submit PORTAL transaction reports shall be subject to any fees imposed by the particular PORTAL system through which the PORTAL transaction report is submitted, as set forth in the Rule 7000 Series.

Renumbered from Rule 5332 and amended by SR-NASD-2005-087 eff. Aug. 1, 2006.
Amended by SR-NASD-2004-76 eff. May 5, 2004.
Amended by SR-NASD-99-66 eff. March 6, 2001.
Rule 5332 effective June 16, 2001.