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Include the date and time of the transaction in the recordkeeping system for securities transactions.


CONTROL ID
16635
CONTROL TYPE
Data and Information Management
CLASSIFICATION
Preventive

SUPPORTING AND SUPPORTED CONTROLS



This Control directly supports the implied Control(s):
  • Establish, implement, and maintain a recordkeeping system for securities transactions., CC ID: 16631

There are no implementation support Controls.


SELECTED AUTHORITY DOCUMENTS COMPLIED WITH



This control is an implied control and is included to maintain the legal hierarchy for your selected controls.