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(3 versions)

6633. Reporting Debt and Equity Transactions in PORTAL Securities

Past version: effective from Aug 3 2009 - Jun 27 2010.
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(a) Subject to Rule 6622(e)(1), 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 Rule 6622(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 6622(b) and comply with the procedures under Rule 6622(d).
(b) Transactions in PORTAL debt securities shall be reported to the Trade Reporting And Compliance Engine Service in accordance with the Rule 6700 Series.
(c) The reporting requirements of this Rule shall apply to transactions in reliance on Securities Act 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 7700 Series.
Deleted by SR-FINRA-2010-003 eff. June 28, 2010.
Amended by SR-FINRA-2008-011 eff. Aug. 3, 2009.
Amended by SR-FINRA-2008-060 eff. Jan. 12, 2009.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
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.

Selected Notices: 08-57, 09-08.

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