4100E. GENERAL
This rule is no longer applicable. NASD Rule 4100E has been superseded by FINRA Rule 6310B. Please consult the appropriate FINRA Rule.
Members may use the NASD/NYSE Trade Reporting Facility to report transactions executed otherwise than on an exchange in all NMS stocks as defined in Rule 600(b)(47) of Regulation NMS under the Act ("designated securities"). Members that use the NASD/NYSE Trade Reporting Facility must comply with the Rule 4000E and 6000E Series, as well as all other applicable rules. The Rule 4000E and 6000E Series shall apply only to members using the NASD/NYSE Trade Reporting Facility.
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Adopted by SR-NASD-2007-011 eff. April 18, 2007. |