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IM-6130E. Trade Reporting of Short Sales

This rule is no longer applicable. NASD IM-6130E has been superseded by FINRA Rule 6182. Please consult the appropriate FINRA Rule.

Rule 6130E(d)(6) requires that members indicate on System reports whether a transaction is a short sale transaction ("short sale reporting requirements"). Rule 6130E applies to members that submit reports to the NASD/NYSE Trade Reporting Facility not just for NGM securities transactions, but for transactions in all exchange-listed 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.
Adopted by SR-NASD-2007-011 eff. April 18, 2007.

Selected Notice: 07-31.