The Broker-Dealer Trade Blotter for Mutual Fund Direct Business serves as a valuable blotter for recording transactional activity specific to a broker-dealer’s mutual fund direct business.  The customizable Trade Blotter is an instrumental part of a broker-dealer’s books and records and includes fourteen separate sections as required by FINRA to include trade identification and description, trade amount, commissions earned and documentary evidence of principal review. Members also downloaded Broker-Dealer Variable Annuity Purchase and Exchange Blotter and Trade Blotter for Unregistered Offerings.

Version/Update: V.4/02012022

Total Page Count/Format: 1/.xlsx (landscape)

Source/Author(s): Connexien