FINRA Manual: Contents
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7000. CLEARING, TRANSACTION AND ORDER DATA REQUIREMENTS, AND FACILITY CHARGES
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7710. OTC Reporting Facility
Past version: effective from Dec 15 2008 - Jun 16 2009.
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The following charges shall be paid by the participant for trade reporting to the OTC Reporting Facility:
|Transaction Related Charges:|
|Reporting of transactions in OTC Equity Securities (as defined in Rule 6420) not subject to comparison through the OTC Reporting Facility||$0.029/side|
|Comparison||$0.0144/side per 100 shares (minimum 400 shares; maximum 7,500 shares)|
|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|
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.