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A100.3: All OTC transactions in equity securities to which a FINRA member is a party must be reported to FINRA, unless expressly excepted from the trade reporting rules (as discussed more fully below).Reportable OTC transactions include trades in NMS stocks effected otherwise than on an exchange, which must be reported to the ADF or a TRF, as well as OTC trades in OTC Equity Securities and transactions in Restricted Equity Securities effected pursuant to Securities Act Rule 144A, which must be reported to the ORF.Q100.4: What is a "trade" or "transaction" that must be reported under the trade reporting rules?A100.4: For purposes of the trade reporting rules, a "trade" or "transaction" entails a change of beneficial ownership of securities between parties (e.g., a purchase or sale of securities) in which a member participates (e.g., as a dealer or an agent).Q100.12: Where can firms get regulatory announcements relating to the FINRA Facilities and interpretive guidance relating to the trade reporting rules?A100.12: All firms that report to a FINRA Facility, including firms that report to the FINRA/NASDAQ TRF or FINRA/NYSE TRF, should sign up to receive regulatory announcements from FINRA under the Market Transparency tab of the FINRA Email Subscription Service.
A100.5: Pursuant to Rule 0160(b)(4), the term "customer shall not include a broker or dealer." Q100.6: What is a "tape" report (also referred to as a "media" report)?Q100.7: What is a "non-tape" report (also referred to as a "non-media" report)?A100.7: A non-tape report can be either a "regulatory" report or a "clearing" report, neither of which is publicly disseminated.Previous versions of the FAQ are archived: Any questions regarding trade reporting to a FINRA Facility should be directed to FINRA's Market Regulation Department, at (240) 386-5126; FINRA's Office of General Counsel, at (202) 728-8071; or FINRA Operations, at (866) 776-0800.
Section 100: Applicable Rules, Definitions and Related Guidance Section 101: Reporting Time, Price and Share Quantity Section 102: Timely Submission of Trade Report Information Section 103: Trade Comparison and Acceptance Section 104: Multiple MPIDs for Trade Reporting Section 105: Obtaining Security Symbols for Trade Reporting Purposes Section 106: Scope of Reporting Requirements Section 107: Reporting Capacity Section 200: Reporting on Behalf of Another Member ("Give-Up" Relationships) Section 201: Order Routing, Execution and/or Reporting via Another Member Section 202: Reporting Trades With a Non-FINRA Member Section 203: Reporting by an Alternative Trading System (ATS) or Electronic Communications Network (ECN) Section 204: Trade Reporting Structure-Which Party Has Trade Reporting Obligation Section 205: Determining "Executing Party" Section 206: Trade Reporting in the Event of Systems Issues Section 300: Non-Tape (Regulatory or Clearing-Only) Reports Section 301: Reporting Step-Outs Section 302: Reporting Riskless Principal Transactions Section 303: Reporting Agency Transactions Section 304: Reporting Net Trades Section 305: As/Of (T N) Reports Section 306: Reporting Matches of Customer Orders by a Member (Including an ATS or ECN) Section 307: Reporting Matches of Broker-Dealer Orders by a Member (Including an ATS or ECN) Section 308: Reporting Matches of Member Orders and Customer or Non-Member Orders by a Member (Including an ATS or ECN) Section 309: Reporting Customer Price Adjustment Transactions Section 310: Odd Lot Transactions Section 311: Reporting Corrections, Cancellations and Reversals Section 312: Transactions in Exchange-Traded Managed Funds Section 400: General Section 401: Trade Report Modifiers on Reports Submitted to the ORF Section 402: Stop Stock Transactions Section 403: Aggregated or "Bunched" Reports Section 404: Weighted Average Price/Special Pricing Formula Transactions Section 405: Related Market Center Section 406: Price Override Indicator Section 407: Short Sale and Short Sale Exempt Indicators Section 408: Prior Reference Price Transactions Section 500: General Section 501: Transactions That Are Part of a Distribution Section 502: Transfers of Equity Securities to Create or Redeem Instruments such as ADRs and ETFs Section 600: General Section 601: Away from the Market Sales Section 602: Transactions Effected Upon the Exercise of Options Section 603: Transfers of Proprietary Securities Positions in Connection With Certain Corporate Control Transactions Section 700: Reporting Transactions in Foreign Securities Section 701: Dually Listed Securities Section 702: ADR "Swap" Transactions Q100.1: What are the FINRA Facilities that support reporting of OTC transactions in equity securities?
The ADF is both a trade reporting and quotation display and collection facility for purposes of transactions in NMS stocks effected otherwise than on an exchange.