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7710. OTC Reporting Facility

Past version: effective from Dec 15 2008 - Jun 16 2009.
To view other versions open the versions tab on the right.

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)
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
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.

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