Regulatory Transaction Fee Reports

Request Process

  • Enter in the clearing firm number. This clearing number must be associated to your firm.
  • A page will appear asking the user to confirm the request or cancel the request. Once the request is confirmed (Click OK), the report will be processed within 48 hours.
  • When the report is ready, the user will receive an e-mail from NASDAQ Trader with a link to the report request page from where the user can access the report.
  • The Regulatory Transaction Fee Report Request page also contains an index of all the reports requested by users at a firm during the current month and previous month along with the status of each report (e.g., Pending, Available, or Deleted). Users at the firm can view all the reports requested by their firm. A report will remain "Available" for seven days from the completion date. A report will be "Deleted" regardless if the user has downloaded the file, seven days after the completion date. If another user at the firm has opened the report, but the user requesting the report has not, it will still be considered "Available".

Data Fields & Definitions

Control Number The system-generated unique identifier for the record. This number will be preceded by a pound sign.
Activity Date The trade date of the entry.
Share Quantity The amount of shares in the trade report.
SEC Security ID The issue symbol.
Contract Amount The dollar amount of the transaction, including shares times price, commissions, mark-ups, etc.
Seller MPID The Market Participant ID (MPID) of the firm on the sell side of the trade report.
Seller Clearing Num The clearing number of the firm on the sell side of the trade report.
Seller Clearing MPID The MPID of the firm responsible for clearing the sell side of the trade report.
Buyer MPID The MPID of the firm reporting the buy side of the trade report.
Buyer Clearing Num The clearing number of the firm on the buy side of the trade report.
Buyer Clearing MPID The MPID of the firm responsible for clearing the buy side of the trade report.
Anon

Indicates which firm type requested anonymity.

The following are the allowed values:

  • M = Anonymous from the MM side
  • O = Anonymous from the OE side
  • B = Anonymous from the MM and OE sides
  • R = non-attributable on MM Side & Anonymity Ignored (not anonymous)
  • S = non-attributable on OE Side & Anonymity Ignored (not anonymous)
  • T = non-attributable on MM and OE Side & Anonymity Ignored (not anonymous)
  • N = not anonymous

Contact Information

Technical Support
  • NASDAQ Technical Support at 212.231.5180