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 FINRA requires Clearing Firms to report prescribed data to FINRA that is used for surveillance purposes.
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The records I submit to FINRA now include transactions in the NASDAQ Market Center in the second category.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.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.A "customer account" is defined in SEC Rule 15c3-3(a)(1).These are accounts held by retail and institutional customers.In this context, exclude the fees for the customer accounts. The purpose is to relate compensation to transaction activity.Fee-based compensation is not transaction dependent. 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.What does the definition of Aggregate Net Liquidating Equity exclude?The definition of Aggregate Net Liquidating Equity excludes sales credits or commissions, clearing deposit accounts and other receivable/payable accounts Who should report ANLE?