FINRA Rule 7440(a)(4) describes what records must be maintained by FINRA Reporting firms regarding orders received or executed at its trading department. These records must include identification of:
(1) each registered person receiving the order directly from a customer;
(2) each registered person executing the order; and
(3) the department originating the order if it was originated by a member and transmitted manually to another department.
Under FINRA Rule 7440(a)(5) these records must be maintained for the period of time laid out in SEA Rule 17a-4(b).
Link to Rule: http://finra.complinet.com/en/display/display.html?rbid=2403&element_id=4434
Helpful Link: http://finra.complinet.com/en/display/display.html?rbid=2403&element_id=10105