The OATS Report Archive

FINRA publishes information about the Order Audit Trail System (OATS) on a regular basis via an online newsletter titled The OATS Report. Following are archives of information that were published in the past.

 

• SEC Approves Proposed Rule Filing SR-FINRA-2011-063 (2/15/12)
   
• OATS Certificate Test Environment Changes (2/1/12) 
   
• OATS Production and Certificate Test Environment Changes (7/21/11)
   
• OATS Email Retirement (5/15/09) 
   
• Received Method Code (4/12/02)
  This article explained the five available Received Method Codes. With implementation of the 8/11/03 Release the Received Method Codes described in the article will no longer be relevant.
   
• Delay in the Implementation of the Bunched Order Indicator (4/12/02)
  NASD has deferred implementation of the Bunched Order Indicator until further notice. Further, the field that is "Reserved for Future Use" will no longer exist with the implementation of the 8/11/03 release.
   
• OATS and Decimalization (12/4/00)
  This article addressed how firms should handle open orders during the decimalization process.