Amendments to OATS Rules

NASDR has filed with the SEC a proposed rule change to amend NASD Books and Records Rule 3110 and NASD Order Audit Trail System Rules 6954 and 6957 to (1) require members to record certain information when an order is transmitted to a non-member; (2) explicitly detail the record- keeping requirements that will apply to OATS data; (3) require members to record and maintain information related to "orders" as that term in defined in the OATS rules; (4) indicate effective dates for compliance with the proposed amendments to Rule 3110; and (5) make three non-substantive, technical revisions to Rules 3110 and 6957.

TitleFormat - SizeStatus
View Text of Proposed Rule ChangePDF - 54.67 KB
Federal Register NoticePDF - 82.85 KB
Approval OrderPDF - 19.05 KB