12 CFR §151.50

1. (a)Chronological records. You must maintain an itemized daily record of each purchase and sale of securities in chronological order, including:
   1. (1)The account or customer name for which you effected each transaction;
   2. (2)The name and amount of the securities;
   3. (3)The unit and aggregate purchase or sale price;
   4. (4)The trade date; and
   5. (5)The name or other designation of the registered broker-dealer or other person from whom you purchased the securities or to whom you sold the securities.
2. (b)Account records. You must maintain account records for each customer reflecting:
   1. (1)Purchases and sales of securities;
   2. (2)Receipts and deliveries of securities;
   3. (3)Receipts and disbursements of cash; and
   4. (4)Other debits and credits pertaining to transactions in securities.
3. (c)Memorandum (order ticket). You must make and keep current a memorandum (order ticket) of each order or any other instruction given or received for the purchase or sale of securities (whether executed or not), including:
   1. (1)The account or customer name for which you effected each transaction;
   2. (2)Whether the transaction was a market order, limit order, or subject to special instructions;
   3. (3)The time the trader received the order;
   4. (4)The time the trader placed the order with the registered broker-dealer, or if there was no registered broker-dealer, the time the trader executed or cancelled the order;
   5. (5)The price at which the trader executed the order;
   6. (6)The name of the registered broker-dealer you used.
4. (d)Record of registered broker-dealers. You must maintain a record of all registered broker-dealers that you selected to effect securities transactions and the amount of commissions that you paid or allocated to each registered broker-dealer during each calendar year.
5. (e)Notices. You must maintain a copy of the written notice required under subpart B of this part.