OATS Report - November 26, 2001

November 26, 2001

OSO (Order Sending Organizations) Administrators at OATS Transmitting and Reporting firms are responsible for maintaining a list of contacts with whom OATS technical and regulatory staff can communicate concerning a variety of OATS issues. There are three types of OATS contacts: 

  • OATS Administrator - The primary contact for the OATS program.
  • OATS Technical Support - Assists the NASD in resolving OATS-related technical issues.
  • OATS Compliance - Assists the NASD in resolving OATS-related compliance issues.

The OATS Administrator is the only user who can perform Contact Administration functions. It is extremely important that the OATS Administrator keep contact information current. The NASD specifically requests OATS Administrators to include a current e-mail addresses as part of the contact information so that the NASD may expedite the process of notifying firms should the need arise.

Contact information is necessary for all transmitting or reporting firms, whether they are reporting for others, for themselves, or through some third party.

For more information on how to perform contact information, please see Chapter 3 of the OATS Subscriber Manual. Questions should be directed to the NASD Gateway Business Applications Support Help Desk at (800) 321-NASD.