Liquidating positions

The data must be divided into two categories: (1) Exchange Executions (transactions executed on a national securities exchange) and (2) Non-Exchange Executions (transactions executed in the NASDAQ, OTCBB and other OTC markets).

The records I submit to FINRA now include transactions in the NASDAQ Market Center in the second category.

Net liquidating equity is defined as the long market value minus the short market value plus the credit minus the debit for all securities (including options) in the account.

The aggregate net liquidating equity is the total net liquidating equity across all accounts.

Will I be required to change this now that NASDAQ is operational as a national securities exchange?

Until further notice, FINRA will allow firms to report NASDAQ transaction data information as EITHER exchange or non-exchange execution.

How should multiple executions of a single order at the same or different prices be counted?

The data requirements are set out in the INSITE Technical Specifications, which require Clearing Firms to file data about transactions.National Securities Exchange includes NYSE, ASE, PHLX, CBOE, Chicago Stock Exchange, Cincinnati Stock Exchange, Boston Stock Exchange, and Pacific Stock Exchange.If a correspondent routes an order to another broker-dealer, and that broker-dealer routes the order to an exchange for execution, is that execution considered as "executed on a National Securities Exchange" or as a "Non-Exchange Listed Equity Transaction?Multiple executions of a single order at different prices for the same customer should be reported as a single transaction - average price should be used to calculate price.The aggregate net liquidating equity in the correspondent’s proprietary accounts.A = New York Stock Exchange B = American Stock Exchange C = Midwest Stock Exchange D = Philadelphia Stock Exchange E = Pacific Stock Exchange F = Boston Stock Exchange G = Cincinnati Stock Exchange K = Chicago Board Options Exchange L = London Stock Exchange) M = Toronto Stock Exchange N = Montreal Stock Exchange O = Vancouver Stock Exchange R = NASDAQ (NNM, SC, OTCBB) S = Over-the-Counter T = Tokyo Stock Exchange X = Securities and Exchange Commission.Z = Other What does the definition of a National Securities Exchange include?The underlying principal of Rule 3150 is reporting at the correspondent level.Omnibus Accounts are aggregate accounts and do not disclose the firms.INSITE is targeting the firm's activity with its public customers.We have no jurisdiction over foreign entities doing business with foreign customers.

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