OATS Reportable Securities

The OATS Rules require member firms to report to FINRA order information for Nasdaq-listed equity securities and OTC equity securities. Initial public offerings (IPOs), secondary offerings, Direct Participation Programs (DPPs), "restricted securities", as defined by SEC Rule 144(a)(3) under the Securities Act of 1933, and any securities designated in the PORTAL Market are not reportable to OATS.

 

OTC Equity Securities

 

Symbol Directory The OTCBB.com Symbol Directory provides a list of all OTC and OTCBB equity securities representing the current trading day. The Symbol Directory contains the OATS Reportable Flag, which identifies if a symbol is OATS Reportable.

 

Web Symbol Directory

http://www.otcbb.com/static/symbol.stm

Downloadable Symbol Directory

http://www.otcbb.com/dynamic/tradingdata/download/allotcbb_otherotc.txt 

FTP Symbol Directory

ftp://ftp.otcbb.com/symboldirectory/allotcbb_otherotc.txt


The Symbol Directory file is defined as follows:


 

Field Name

Definition

Issue_Sym_id

Issue Symbol

Issue_Type_Cd

Issue Type
American Depositary Shares
Bond
Common Stock
Bond Derivative
Depository Receipt
Corporate Bond
144A
Limited Partnership
Notes
Ordinary Shares
Preferred Stock
Other Securities
Right
Shares of Beneficial Interest
Convertible Debenture
Unit
Units/Benif Int
Warrant
Index Warrant
Unclassified

Issue_Short_Nm

Issue Short Name

Status

Issue Status
Active
Eligible
Ineligible

Mkt_Cat

Market Category
U - OTCBB
u - other-OTC

OATS_Rptbl_Fl

OATS Reportable Flag
Y - Security is OATS Reportable starting February 4, 2008
N - Security is NOT OATS Reportable

Unit_of_Trade

(effective may 20, 2008)

Unit of Trade

 

Filler

New Field - Field is reserved for future use.


Daily List
The OTCBB.com Daily List contains a list of new issues, symbol and name changes, and deleted issues for all OTC and OTCBB securities. The Daily List also includes changes to the OATS Reportable Flag. The Daily List is updated throughout the trading day between 8:00 a.m. and 8:00 p.m. (Eastern Time).
 

Daily List

http://www.otcbb.com

FTP Daily List

ftp://ftp.otcbb.com

File name format: BB<MMDDYYYY>.txt


Nasdaq-listed Equity Securities

 

Symbol Directory
The NASDAQTrader.com Symbol Directory provides a list of all Nasdaq-listed equity securities representing the current trading day. Please note: All Nasdaq-listed equity securities are OATS reportable.

 

Web Symbol Directory

http://www.nasdaqtrader.com/trader/symboldirectory/symbol.stm

Downloadable Symbol Directory

http://www.nasdaqtrader.com/dynamic/SymDir/nasdaqlisted.txt 


Daily List
The NASDAQTrader.com Daily List contains a list of new issues, symbol and name changes, and deleted issues for all Nasdaq-listed equity securities. The Daily List is updated throughout the trading day between 8:00 a.m. and 8:00 p.m. (Eastern Time). A subscription is required to obtain the Daily List.

 

Daily List

http://www.nasdaqtrader.com