OATS Announcements

Posted: November 15, 2013

NASDAQ Expanded Symbology for NASDAQ Listed Companies

 

As announced in NASDAQ Equity Trader Alert #2013-79, NASDAQ plans to expand Symbology for NASDAQ listed companies beginning in January 2014. Staff reminds firms and Order Sending Organizations (OSOs) that orders must be reported to OATS in the format prescribed by the primary listing exchange. Firms and OSOs can start testing symbol formats in the OATS CT environment with the following test symbols:

  • ZXYZ.A
  • ZXY.A
  • ZYY.A
  • ZYY.B
  • ZYY.C
  • XXVV.A

 

If you have any questions regarding this matter, please call the OATS Helpdesk at 1(800) 321-6273.

 


 

Posted: November 15, 2013

New Release Now Available in the OATS Customer Test (CT) Environment

 

The OATS release as described in the September 12, 2013 version of the OATS Reporting Technical Specifications, and updated in the related Addendum published on October 16, 2013, is now available in the OATS CT environment. This release includes the following changes:

  • Publication of Exchange Route Match statistics for orders routed to EDGA and EDGX Exchanges
  • Addition of one new rejection code preventing the population of both the Originating Department ID and the Receiving Department ID fields on the same New Order Type Report

 

Firms and OSOs are strongly encouraged to begin testing to identify and resolve rejection and matching issues prior to the December 2, 2013 implementation in the OATS Production environment.

 

For more information on the upcoming changes, please see the related links below:

 


 

Posted: October 18, 2013

Publication Date Changed for OATS Route Matching Statistics for the EDGA and EDGX Exchanges

 

The publication date of Exchange Route Matching Statistics for orders routed to the EDGA and EDGX Exchanges has been changed to November 11, 2013 for the Customer Test (CT) environment and December 2, 2013 for the Production environment. For more information, please see the related links below:

Additionally, FINRA has published an addendum to the September 12, 2013 version of the OATS Reporting Technical Specifications. The addendum contains a new Rejection Code of 2146 which prevents the population of both the Originating Department ID and Receiving Department ID on the same New Order Type Report.

 

View Addendum (PDF 17 KB)

 


 

Posted: October 18, 2013

Exchange Route Matching for orders routed to Direct Edge EDGA and EDGX exchanges

 

FINRA will begin publishing Exchange Route Matching statistics for orders routed to the EDGA Exchange and EDGX Exchange in November 2013. FINRA is publishing a new version of the OATS Reporting Technical Specifications that includes the specific Direct Edge exchange fields that will be used to match the OATS Route Report or Combined Order/Route Reports to the related order in EDGA or EDGX. In addition, FINRA is posting an updated OATS Report entitled “FINRA Guidance on Exchange Route Matching” that includes reporting guidance for all the exchanges that are included in the Exchange Route Matching statistics. The EDGA and EDGX exchange route matching statistics will be available to firms in the CT environment on October 21, 2013 and in the OATS Production environment on November 18, 2013. For more information please see the related links below: