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IM-6130. Trade Reporting of Short Sales
Rule 6130(d)(6) requires that members indicate on System reports whether a transaction is a short sale transaction ("short sale reporting requirements"). Rule 6130 explicitly requires members to file reports for transactions in all Reportable Securities, including transactions in exchange-listed, convertible debt, OTC Bulletin Board, and OTC equity securities. Thus, all short sale transactions in these securities reported to the System must carry a "short sale" indicator.
Amended by SR-NASD-2007-047 eff. July 6, 2007.
Amended by SR-NASD-2006-087 eff. Aug. 1, 2006
Adopted by SR-NASD-2005-087 eff. Aug. 1, 2006
Selected Notice: 07-31.