OATS Phase III Educational Telephone Conference

April 27, 2006 4:15 PM ET


Due to the change in effective date for OATS Phase III from May 8, 2006 to July 10, 2006, NASD is postponing the April 27, 2006 Educational Teleconference until a later time. A new date will be announced shortly.


NASD is offering a third educational telephone conference on OATS Phase III on Thursday, April 27, 2006 at 4:15 PM ET. This will be the final telephone conference prior to the implementation of the OATS Phase III requirements on May 8, 2006.


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

  • Important Dates:
    • May 1, 2006 - Deadline to register for OATS in order to transmit data to OATS beginning May 8, 2006
    • May 5, 2006 - Final day to submit test data prior to the May 8, 2006 implementation date.  All firms reporting to OATS for the first time must successfully transmit data to the OATS test environment (CT) before they will be allowed to submit data to OATS production.
  • Overview of common problems experienced with Phase III data submitted to CT since March 27, 2006
  • SEC approval of NASD Rule 6958 expanding NASD's exemptive authority to include electronic recording requirements  
  • Overview of the OATS web interface enhancements
  • Announcement of upcoming OATS educational offerings
  • Question and Answer Session

To participate in this telephone conference, please RSVP at http://www.mymeetings.com/emeet/webrsvp/part_home.jsp?customHeader=mymeetings by entering the following information: Conference ID: 7873024 Conference Passcode: OATS PHASE3.


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


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