Skip to main content

7360. Audit Trail Requirements

The data elements specified in Rule 7330(d) are critical to FINRA’s compilation of a transaction audit trail for regulatory purposes. As such, all member firms utilizing the trade reporting service of the System have an ongoing obligation to input 7330(d) information accurately and completely.
Adopted by SR-FINRA-2008-021.

Selected Notice: 08-57.

No Results Found

No Results Found

No Results Found