OATS Frequently Asked Questions

Following are "Frequently Asked Questions" regarding the Order Audit Trail System (OATS). 

 

We have archived the non-active issues in our Frequently Asked Questions. However, we have retained them for background information and also have retained the original numbering scheme from the original posting of the FAQ. As a result, you may notice gaps in the FAQ numbering. View the OATS Frequently Asked Questions archive.

 

• Compliance
• Definitions
• Technical
• Development
• Clock Synchronization
• OTC Equity Securities
• Phase III