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  Rule 128A

Rule 128A. Publication of Transactions

• • • Supplementary Material: ------------------

.10 Duty of seller.—It is the duty of the seller to report the sale of a security in such manner as to facilitate the printing of the trade on the tape. Members should promptly call the attention of the appropriate person(s) to any error on or omission from the tape.

.11 Price not in dispute.—The publication of a transaction on the tape may not be objected to if the price at which it was made is not in dispute.

.13 Registered as to principal.—Transactions in bonds registered as to principal must be published on the tape and "sales sheet," * designated "Registered as to Principal."

.16 "Stopped" Securities.—Transactions in "stopped" securities shall be published on the tape and in the "sales sheet" * in sequence and included in the volume for the day. If a member so requests, such transactions shall be designated on the tape with the symbol "ST". A trade so designated is considered to be outside the regular bidding and offering rules and only the grantor of the "stop" and the broker who has been "stopped" may participate in such trade.


Amended: Effective March 14, 1967; February 9, 1968; August 14, 1985; March 20, 2007 (NYSE-2006-37).