OATS for OTC Equity Securities - Educational Telephone Conference

August 15th, 2007 at 4:15 PM ET


FINRA will host an educational telephone conference regarding OATS for OTC Equity Securities on Wednesday, August 15, 2007, beginning at 4:15 p.m., Eastern Time (ET). To ensure that you are not held up in the conference call queue as a result of the high call volume, please call in at least five minutes early. The details of the call are below:

Time: 4:15 p.m., ET
Call-In Number: (888) 928-9527
Leader's Name: Paul McKenney
Password: OATS FOR OTC

Please note that this call is closed to all members of the media.

During this telephone conference, FINRA staff will discuss:

  • FINRA's rule proposal (SR-FINRA-2007-001) filed with the SEC on July 31, 2007, amending the scope of OTC securities required to be reported to OATS to exclude the reporting of orders and transactions of certain foreign securities;

  • Additional topics related to Pink Sheet and Bulletin Board securities, including the definition of a market maker and orders transmitted through electronic messaging systems;

  • Changes to the OATS Reporting Technical Specifications;

  • Important Dates:

    • December 10, 2007- OATS for OTC code available in Testing environment;

    • February 4, 2008- OATS for OTC requirements effective in the OATS Production environment;

  • Question and Answer Session

To participate in this telephone conference:

  • Go to our MyMeetings web page and input the required information.

  • Enter the conference number and passcode.

    • Conference Number: 1529533


  • Provide your information for the event leader and then click submit.

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

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) 321-6273 should you have any questions or concerns regarding OATS.