c0e205a4_d_Questions___Data___FINRA_org__Field_Name
[Description] The number of trades in customer accounts that the correspondent or self-clearing firm had on the processed date. [Questions & Responses] How should multiple executions of a single order at the same or different prices be counted? Multiple executions of a single order at the same price for the same customer should be reported as a single 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. Are open-end mutual funds, variable contract, and direct participation program transactions included in the trade counts? No, but closed end fund shares which trade on an exchange are included. Are ADRs included in the trade counts? Yes. All securities transactions (US or foreign) with domestic customers should be reported. ADRs fall under this definition. In which reporting category should 144A securities, Portal equity or Debt fall into? The security classification - equity, debt, and options - is the determinant for the reporting category. Are option exercises/assignments included in this count? The transactions in the underlying securities resulting from the exercise of the option should be included. Should syndicate trades at the correspondent level be included in the Trade Count reporting requirements? Yes Should any equity requiring a prospectus be reported? Yes Should dividend reinvestments be included in the trade counts? No Are transactions among broker-dealers (street-side trades) reportable in the trade counts? No, only customer transactions (retail and institutional) are reportable. [Field Name] 
Trade Count
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