Skip to main content

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

6170E. Audit Trail Requirements

This rule is no longer applicable. NASD Rule 6170E has been superseded by FINRA Rule 7260B. Please consult the appropriate FINRA Rule.

The data elements specified in Rule 6130E(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 6130E(d) information accurately and completely.
Adopted by SR-NASD-2007-011 eff. April 18, 2007.

No Results Found

No Results Found

No Results Found

No Results Found