OATS Report - October 4, 2000

October 4, 2000

OSO Administrators at NASD member OATS reporting firms are responsible for maintaining a list of contacts with whom OATS technical and regulatory staff can communicate concerning a variety of issues. The contact types required by OATS are:

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

The Administrator is the only user who can perform contact administration functions, and it is important that the Administrator keep contact information very current. The NASD asks Administrators to include e-mail addresses as part of the contact information so that we may expedite the process of notifying firms should the need arise.

Contact information is necessary for any NASD member firm that is reporting data to OATS whether they are reporting for themselves or through some other entity.

For more information on how to perform contact administration, please see Chapter 3 of the OATS Subscriber Manual. Questions should be directed to the NASD's Business and Technical Support Services at (800) 321-NASD.