The OATS Report

FINRA publishes information about the Order Audit Trail System (OATS) on a regular basis via an online newsletter titled The OATS Report. In this publication the OATS team informs FINRA member firms of the latest regulatory and technical OATS-related topics. If there are areas you would like to see discussed here, please send us an email for consideration. See below for the latest OATS Report.

 

April 23, 2014

 

March 21, 2014

 



The OATS Report Index

 

View an index of past OATS Reports below. For your convenience they have been categorized in groups related to

 

Compliance

 

Reporting Requirements

 


Supervision

 


 

Technical

 

System Releases and Enhancements

 


The OATS Web Interface

 


ROE Rejections and Reject Repair