5.5.1. Records for Agency Transactions
A trading ticket or similar record must be made and kept current for each agency order, including any instructions given or received by the office for executing the order. Information on the record must include:
• Terms and conditions of the order, including any instructions or modifications
• Account for which the order is entered
• Date and time the broker-dealer received the order
• Price at which the order was executed
• Date of execution and, if fe