The Broker-Dealer Trade Blotter for Unregistered Offerings serves as a valuable blotter for recording transactional activity specific to deals in private offerings.  The customizable Trade Blotter is an instrumental part of a broker-dealer’s books and records and includes twelve separate sections for recording and tracking private offering transactions as well as addressing certain regulatory focal points often highlighted during the FINRA broker-dealer examination process. Members also downloaded Broker-Dealer Trade Blotter for Mutual Fund Direct Business and Broker-Dealer Variable Annuity Purchase and Exchange Blotter.

Version/Update: V.3/October 12, 2021

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

Source/Author(s): Connexien