c0e205a4_d_Questions___Data___FINRA_org__Field_Name
[Description] The number of equity trades in customer accounts executed in a market other than a National Securities Exchange, that the correspondent or self-clearing firm had on the "processed date." The count would include executions in the NASDAQ, OTCBB and OTC markets. [Questions & Responses] Does this count include 3rd market transactions? Yes Where should syndicate transactions be included? Yes. Syndicate transactions should be included under Non-Exchange sections. Are Prime Broker Trades included? Since we do not know where these trades are executed, they should be included here. FINRA requires Clearing Firms to report prescribed data to FINRA that is used for surveillance purposes. The data requirements are set out in the INSITE Technical Specifications, which require Clearing Firms to file data about transactions. 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. 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. Firms will be expected to be able to identify which transactions are NASDAQ transactions upon inquiry by FINRA staff. [Field Name] 
Non-Exchange Trade Count
Insite Frequently Asked Questions - Data | FINRA.org