Small Firm Telephone Conference: OATS Expansion to all NMS Stocks and Supervision of Reporting Agents

Wednesday, July 27, 2011 at 4:15 p.m. ET

On Wednesday, July 27, 2011 at 4:15 p.m., ET, FINRA will host a teleconference specifically designed for small firms focusing on the expansion of OATS to all NMS Stocks. During this call, FINRA staff will provide updates on, and answer questions related to, the expansion of OATS to all NMS stocks, the related OATS Reporting Technical Specifications published on May 3, 2011 and other OATS specific topics. In addition to covering the changes related to the NMS expansion, FINRA staff will provide detailed information on tools available to smaller firms to monitor the accuracy and completeness of data submitted on their behalf by reporting agents, such as clearing firms or third party vendors.


The changes identified in the May 3, 2011 version of the OATS Reporting Technical Specifications will be available to firms in the OATS Test Environment on Monday, August 22, 2011 and will go live in the OATS Production Environment on Monday, October 3, 2011. View the current version of the OATS Reporting Technical Specifications.


Time: 4:15 p.m., ET
Call-In Number: (888) 283-1657
Leader's Name: Paul McKenney
Conference Number: 5934299
Password: 5202738


Please note that this call is closed to all members of the media. You must pre-register in order to participate in this conference call.


To register for the telephone portion of this conference:

  • Go to our My Meetings Web page and click on “Web RSVP” on the bottom right corner or go to the website and input the required information.
  • Enter the conference number and passcode.
    • Conference Number: 5934299
    • Conference Passcode: 5202738
    • PIN: (Important: Leave this area blank or enter your pin to modify an existing reservation.)
  • Provide your information for the event leader and then click submit.

To ensure that you are not held up in the conference call queue as a result of the high call volume, please call in at least five minutes early.


Please contact the OATS Helpdesk at (800) 321-6273 should you have any questions or concerns regarding OATS.