Every member or their member organization must preserve for at least three years the first two years in an easily accessible place, a record of: Every order received by such member or member organization, every order entered by such member or member organization, the time of the entry of every cancellation of an order covered by the two previous.

Helpful Links:

Documentation on Rule 410 Records of Orders on FINRA's website

Related Products:

Smarsh Email Archiving
Virtual Compliance Officer

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Smarsh, Inc. assumes no liability for the accuracy or completeness of this information. Please consult with an attorney for specific information on specific rules and regulations and how they apply to your business.

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