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Product LoginWednesday, June 17, 2015
Futures Regulatory Alert #2015 - 8
Nasdaq Futures, Inc. Audit Trail Requirements
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Pursuant to Chapter V, Section 1, each Futures Participant shall maintain or cause to be maintained audit trail information for all Orders entered into the Trading System, including Order modifications and cancellations. This audit trail must contain, at a minimum, all Order entry, modification, cancellation and response receipt time(s) as well as Financial Information Exchange interface (FIX) tag information as applicable. Futures Participants are required to produce, upon request by Nasdaq Futures, Inc. (NFX) or its Regulatory Services Provider, the audit trail for all Orders submitted to NFX in a format prescribed by NFX. The National Futures Association ("NFA") is the Regulatory Services Provider for NFX. Generally, Futures Participants will receive requests for audit trail information from the NFA. |
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