OATS Report Index

FINRA publishes information about the Order Audit Trail System (OATS) on a regular basis via an online newsletter titled The OATS Report. In this publication the OATS team informs FINRA member firms of the latest regulatory and technical OATS-related topics. If there are areas you would like to see discussed here, please send us an email for consideration. See below for the latest OATS Report.

July 8, 2015

June 26, 2015

May 18, 2015

 


    The OATS Report Index

    View an index of past OATS Reports below. For your convenience they have been categorized in groups related to

    Compliance

    Reporting Requirements

    Supervision

    Technical

    System Releases and Enhancements

    The OATS Web Interface

    ROE Rejections and Reject Repair