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FINRA Manual
Corporate Organization
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Jun 1 2010 onwards
7710. OTC Reporting Facility
The following charges shall be paid by the participant for trade reporting to the OTC Reporting Facility:
| Transaction Related Charges: | |
| Reporting of transactions not subject to comparison through the OTC Reporting Facility | $0.029/side |
| Clearing report to transfer a transaction fee charged by one member to another member pursuant to Rule 7330(i) | $0.03/side |
| Comparison | $0.0144/side per 100 shares (minimum 400 shares; maximum 7,500 shares) |
| Late Report—T+N | $0.288/side |
| Query | $0.50/query |
| Corrective Transaction Charge | $0.25/Cancel, Error, Inhibit, Kill, or 'No' portion of No/Was transaction, paid by reporting side; $0.25/Break, Decline transaction, paid by each party |
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Amended by SR-FINRA-2010-017 eff. June 1, 2010. Amended by SR-FINRA-2010-009 eff. March 1, 2010. Amended by SR-FINRA-2009-088 eff. Dec. 7, 2009. Amended by SR-FINRA-2009-043 eff. June 17, 2009. Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008. Amended by SR-FINRA-2009-045 eff. March 5, 2007. Adopted by SR-NASD-2007-018 eff. March 5, 2007. Selected Notice: 08-57. |
