For updates and guidance related to COVID-19 / Coronavirus, click here.
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.