Notice to Members 99-04

Revised OATS Reporting Technical Specifications Released

A revised edition of the OATS Reporting Technical Specifications (Technical Specifications) was released November 30, 1998.  Members that are required to submit data to the Order Audit Trail SystemSM (OATSSM), in accordance with National Association of Securities Dealers, Inc. (NASD®) Rules 6950 through 6957, must use these specifications for all files and records submitted after January 18, 1999.

For more information, contact NASD Business and Technology Support Services at (800) 321-NASD.