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.

 

January 27, 2015

 

September 8, 2014

 

June 2, 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

 

 

Last Updated: 1/27/2015