OATS Expansion to all NMS Stocks
OATS for NMS Implementation Delayed to October, 17, 2011
Posted: September 27, 2011
FINRA intends to file with the SEC to delay the expansion of OATS to all NMS Stocks until October 17, 2011. FINRA believes additional testing time for member firms will allow for any remaining implementation issues to be resolved before the new rule and related technical requirements become effective on October 17, 2011. The same previously announced phase-in schedule will be followed but with dates moved back for the start of each phase by two weeks.
SEC approves OATS for NMS Stocks
Posted: November 15, 2010
On November 12, 2010, the SEC approved FINRA’s proposed rule change SR-FINRA-2010-044 to expand the OATS Rules to all NMS stocks. The changes will be effective 180 days after publication of the Regulatory Notice and related OATS Reporting Technical Specifications. For more information, please review the SEC's Approval Order.
OATS Reportable Securities Daily List
To assist firms in complying with the OATS Rules, FINRA will publish a daily consolidated list of all OATS Reportable securities. The OATS Reportable Security Daily List will provide a list of all NMS stocks and OATS reportable OTC equity securities representing the current trading day.
OATS Reports related to the OATS Expansion to all NMS Stocks
Frequently Asked Questions
View a listing of frequently asked questions about OATS Expansion to all NMS Stocks.