OATS for OTC Equity Securities Educational Telephone Conference

January 24, 2007 4:15 PM ET

NASD is offering an educational telephone conference on Wednesday, January 24, 2007 at 4:15 PM ET to discuss the expansion of the OATS Rules to OTC Equity Securities. To ensure that you are not held up in the conference call queue as a result of high call volume, please call in at least five minutes early. The details of the call are below:


  • Date: Wednesday, January 24, 2007
  • Time: 4:15 PM ET
  • Dial-In Number: (800) 369-1120
  • Leader: Paul McKenney

During this telephone conference, NASD staff will cover the following:


  • Overview of the rule change expanding the OATS recording and reporting requirements to include OTC Equity Securities
  • Overview of changes to the OATS Reporting Technical Specifications
  • Important Dates:
    • April 30, 2007- OATS for OTC code available in Testing environment
    • June 11, 2007- OATS for OTC requirements effective in the OATS Production environment
  • Question and Answer Session

To participate in this telephone conference, please RSVP at https://www.mymeetings.com/emeet/rsvp/index.jsp?customHeader=mymeetings&Conference_ID=3013993&passcode=OATS OTC by entering the following information: Conference ID: 3013993 Conference Passcode: OATS OTC (Note: No PIN is required for initial registration.)

Firms may email us any questions they would like to have answered during the conference call.

For more information on OATS for OTC equity securities please view the following web page www.finra.org/oats/otc. Please contact the OATS Helpdesk at (800) 321-NASD should you have any questions or concerns regarding OATS.