OATS Small Firm Resources
OATS Basics Presentation
For information, please refer to our Order Audit Trail System (OATS) Basics presentation (PDF 134 KB).
NASD Notice to Members
06-15 SEC Approves Expansion of NASD's Exemptive Authority under the OATS Rules; NASD Provides Additional Guidance Regarding Exemptive Relief and Encourages Exempted and Other Small Firms to Test the Enhanced OATS Web Interface (Notice Posted on: 4/5/06)
Exemptive Relief from the OATS Recording and Reporting Requirements
FINRA Rule 7470 contains a provision that permits FINRA to grant exemptive relief from the OATS reporting and recording requirements for manual orders in certain circumstances.
OATS Web Interface User Guide (PDF 5 MB)
Provides an overview of the OATS Web Interface. It describes the functionality and steps used to navigate, view, and take action on OATS data and feedback.
The OATS Web Interface User Guide is a companion document to the OATS Reporting Technical Specifications. The Technical Specifications provides descriptions of order and reporting responsibilities, Reportable Order Event record (ROE), and Firm Order Report file (FORE) layouts.
OATS Web Interface Data Dictionary (PDF 150 KB)
Provides definitions, allowable values, and additional information related to data presented on the OATS Web Interface.