FINRA Rebranding Impacts to OATS Submissions

As you may know, the consolidation of NASD and NYSE Member Regulation into a single self-regulatory organization, the Financial Industry Regulatory Authority (FINRA), became effective July 30, 2007. Below is an overview of how this consolidation will impact the reporting process for OATS users:

 

  • Email users – must obtain new email encryption certificate and send to a new email address, see instructions
  • FTP users – must reference a new DNS name
  • IFT users – must reference a new DNS name
  • Web users – must use a new Web address to access the OATS Web site

     

The chart below provides more details. Please note that all OATS-related NASD URL, DNS and email addresses will retire October 1, 2007.

 

Method As of August 27th Effective October 1st
Email

No changes required.

Firms using email must continue to submit to OATS using the following addresses:

PD: oatsfiles@nasd.com
CT: testoatsfiles@nasd.com

Firms will continue to receive status from the following addresses:

 

PD: oatsfiles@nasd.com
CT: testoatsfiles@nasd.com

On October 1st, prior to submitting data, all firms using email to submit to OATS MUST request a new certificate for both the PD and CT environments. The email addresses for requesting the new OATS email certificate are:

PD: oatskey@finra.org
CT: testoatskey@finra.org

For additional instructions on requesting an OATS email certificate, please refer to the "OATS Email Certificate Renewal Instructions" document.

 

Firms may only submit to OATS using the following addresses:

PD: oatsfiles@finra.org
CT: testoatsfiles@finra.org

In addition, the following email addresses will no longer be valid:

PD: oatsfiles@nasd.com
CT: testoatsfiles@nasd.com

 

FTP Firms may begin to access OATS via FTP using the following DNS names:

PD: oats-ftp.finra.org
CT: oatstest-ftp.finra.org

Firms are strongly encouraged to migrate to the new DNS names prior to October 1, 2007 deadline.
Firms will no longer be able to connect to OATS using the following DNS names:

PD: oats-ftp.nasd.com
CT: oatstest-ftp.nasd.com

Firms may only connect to OATS using the following DNS names:

PD: oats-ftp.finra.org
CT: oatstest-ftp.finra.org

 
IFT Firms will be able to access OATS via IFT using the following DNS names:

PD: ift.finra.org
CT: iftcert.finra.org

Firms are strongly encouraged to migrate to the new DNS names prior to October 1, 2007.
Firms will no longer be able to connect to OATS using the following DNS names:

PD: ift.nasd.com
CT: iftcert.nasd.com

Firms may only connect to OATS using the following DNS names:

PD: ift.finra.org
CT: iftcert.finra.org

 
Web Firms may begin to access the OATS website using the following addresses:

PD: https://firms.finra.org
CT: https://firmstest.finra.org

Firms are strongly encouraged to update "Bookmarks" or "Favorites" prior to October 1, 2007.

Firms will no longer be able to connect to OATS using the following URLs:

PD: https://oats.nasd.com
CT: https://oatstest.nasd.com

Firms may only connect to OATS using the following addresses:

 

PD: https://firms.finra.org

CT: https://firmstest.finra.org

 

 

 

Business and Technology Support

 

  Technical Support Business Support
Telephone: (800) 321-6273 (800) 321-6273
Fax: (240) 386-6499 (240) 386-4841
Email: supportservices@finra.org supportservices@finra.org
Web: http://www.finra.org http://www.finra.org


 

To get more information about OATS, visit http://www.finra.org/oats.

 

Last Updated: 9/20/2010