6170. Audit Trail Requirements
This rule is no longer applicable. NASD Rule 6170 has been superseded by FINRA Rules 7260A and 7360. Please consult the appropriate FINRA Rules.
The data elements specified in Rule 6130(d) are critical to NASD'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 6130(d) information accurately and completely.
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Adopted by SR-NASD-2005-087 eff. Aug. 1, 2006. |