c0e205a4_d_Questions___Data___FINRA_org__Field_Name
[Description] The number of equity trades in customer accounts executed on a National Securities Exchange, that the correspondent or self-clearing firm had on the "processed date. [Questions & Responses] What does the definition of a National Securities Exchange include? 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? "As an execution on a National Securities Exchange Which category should preferred stock and convertible preferred stock transactions be included? These transactions should be included in the equity category. 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] 
Exchange Trade Count
Insite Frequently Asked Questions - Data | FINRA.org