OATS Announcements

Posted: September 15, 2014

FINRA Hosting an OATS/Trade Reporting Industry Call and WebEx Presentation on Thursday, September 18, 2014

FINRA is hosting an industry wide call on Thursday September 18, 2014 at 4:15 p.m. Eastern Time. The agenda for this call includes:

  • Trade Reporting and OATS Guidance for Alternative Trading Systems
  • OATS Guidance Related to the Reduction of Shares Quantities
  • Firm Obligations to Report Desk Reports
  • Reverse Matching Statistics
  • New Audit Trail Surveillance Group
  • Q & A

More Details



ORF Migration Date Moved to November 17, 2014

FINRA recently announced that it has revised the migration date for firms to begin reporting OTC equity security trades and trades in restricted equity securities effected pursuant to Securities Act Rule 144A to the new OTC Reporting Facility (ORF) technology platform. Firms will begin reporting trades to ORF on the new platform on Monday, November 17, 2014. Visit the OTC Reporting Facility (ORF) Migration page for more information.

As a result of the revised ORF migration date, OATS changes related to the ORF migration previously planned for September 15, 2014 will now be available in OATS Production on November 17, 2014. For more information related to these changes please review the OATS Report "Changes to Order/Trade Matching Requirements for OTC Equity Securities".