6750. Dissemination of Transaction Information

(1) identified with the non-member affiliate—principal transaction indicator pursuant to Rule 6730(d)(4)(E);

(2) a transfer of proprietary securities positions where the transfer (A) is effected in connection with a merger or direct or indirect acquisition and (B) is not in furtherance of a trading or investment strategy. Such transfers shall be reported in the manner prescribed by FINRA to denote that they are submitted for regulatory purposes and not for dissemination. Members must provide FINRA at least three business days advance written notice of their intent to use this exception, including the basis for their determination that the transfer meets the terms of the exception. Members must report such transfers on the same day as the ultimate transfer of the positions on their books and records, unless later reporting is warranted under specific circumstances;

(3) a List or Fixed Offering Price Transaction or a Takedown Transaction;

(4) a Securitized Product that is: a CMBS; a CDO; or a CMO if the CMO transaction value is $1 million or more (calculated based upon original principal balance) and the transaction does not qualify for periodic dissemination under paragraph (b) of this Rule, except as may be otherwise provided in Rule 7730;

(5) a U.S. Treasury Security other than an On-the Run Nominal Coupon; or

(6) a Foreign Sovereign Debt Security.