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Home > Regulatory Systems > OATS > Small Firm Resources
Printer-Friendly Last Updated: 1/30/07 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)

Phase III Reporting Tool User Guide

NASD OATS Phase III Reporting Tool Small Firm User Guide (PDF 555 KB)

Phase III Reporting Tool Data Dictionary

The Phase III Data Dictionary (PDF 74 KB) provides details on definitions, allowable values, additional instructions and more for the Phase III Reporting tool.