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.

June 26, 2015

June 11, 2015

May 18, 2015

September 8, 2014

 


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