Skip to main content

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

6170A. Audit Trail Requirements

This rule is no longer applicable. NASD Rule 6170A has been superseded by FINRA Rule 7160. Please consult the appropriate FINRA Rule.

The data elements specified in the Rule 4600A Series are critical to NASD's compilation of a transaction audit trail for regulatory purposes. As such, all member firms using the TRACS Service have an ongoing obligation to input such information accurately and completely.
Adopted by SR-NASD-2002-97 eff. July 29, 2002.

No Results Found

No Results Found

No Results Found

No Results Found