Repairing Reportable Order Event Rejections

November 2, 1999

 

Member firms that fail to repair and resubmit rejected ROEs may be in violation of NASD Rule 6955 and may also be considered to be in violation of NASD Rule 2110.

 

Reportable Order Event Rejections are ROEs that failed to pass validation checks in OATS. They may be viewed and repaired via the OATS Web interface. ROE rejection files may also be downloaded from OATS via the Web and FTP.

 

There are two ways to repair a rejected ROE:

 

  1. Resubmit the repaired ROEs in a new FORE

    or

  2. Repair the ROEs via the OATS Web interface

 

Members should refer to Section 6 of the OATS Reporting Technical Specifications and to Section 5 of the OATS Subscriber Manual for details on repairing and resubmitting ROE Rejections. For further information on how to repair Reportable Order Event Rejections call Business and Technology Support Services at (800) 321-NASD or via e-mail at supportservices@nasd.com.

Last Updated: 9/30/2008