8211. Automated Submission of Trading Data Requested by FINRA
(a) A member shall submit the trade data specified below in automated format as may be prescribed by FINRA from time to time. This information shall be supplied with respect to any transaction or transactions that are the subject of a request for information made by FINRA.
(b) If the transaction was a proprietary transaction effected or caused to be effected by the member for any account in which such member, or person associated with a member, is directly or indirectly interested, such member shall submit or cause to be submitted the following information:
(1) Clearing house number, or alpha symbol as used by the member submitting the data;
(2) Clearing house number(s), or alpha symbol(s) as may be used from time to time, of the members(s) on the opposite side of the transaction;
(3) Identifying symbol assigned to the security;
(4) Date transaction was executed;
(5) Number of shares, or quantity of bonds or options contracts for each specific transaction and whether each transaction was a purchase, sale, short sale, or, if an options contract, whether open long or short or close long or short;
(6) Transaction price;
(7) Account number; and
(8) Market center where transaction was executed.
(c) If the transaction was effected or caused to be effected by the member for any customer account, such member shall submit or cause to be submitted the following information:
(1) The data described in paragraphs (b)(1) through (8) above;
(2) The customer name, address(es), branch office number, registered representative number, whether order was solicited or unsolicited, date account opened, employer name, and the tax identification number(s); and
(3) If the transaction was effected for another member, whether the other member was acting as principal or agent.
(d) In addition to the above trade data, a member shall submit such other information in such automated format as may from time to time be required by FINRA.
(e) Pursuant to the Rule 9600 Series, FINRA may exempt a member from the requirement that the data prescribed in paragraphs (b) through (d) above be submitted to FINRA in an automated format for good cause shown.
| Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008. Amended and renumbered by SR-NASD-97-81 eff. Jan. 16, 1998. Added eff. Feb. 13, 1989. Selected Notice: 08-57. |
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