FINRA Manual: Contents
FINRA ManualConnected by Complinet
7000. CLEARING, TRANSACTION AND ORDER DATA REQUIREMENTS, AND FACILITY CHARGES
7300. OTC REPORTING FACILITY
|View Whole Section||Text only||Print Manager||Link|
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.