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OATS Compliance Daily Report Card

The Daily Total Summary Data and Detail Data Download files for the OATS Compliance Report Card provide underlying totals and detail of the data contained in the monthly summary OATS Compliance Report Card.

The tables below represent the data within the Daily Totals Summary Report Card and the Detail Data Download files.

Summary Definitions and Data Fields

Term

Definition

Late Reporting Daily Summary Report
Late Report This is an accepted Reportable Order Event ("ROE") without a Rejected ROE Resubmit Flag of "Y", received after 8:00 a.m.(5:00 a.m. prior to October 17, 2011) the calendar day following the OATS business day on which the order event occurred.
OATS Processing Date This is the date OATS received and processed the data submitted by the firm.
FORE This is a file containing one or more ROE records preceded by a header and followed by a trailer that is submitted by an Order Sending Organization ("OSO") to OATS.
Firm FORE ID This is an identifier assigned by the OSO to uniquely identify the FORE within the file generation date.
No. of Late Records in File This is the number of ROEs in the identified file that were marked late by OATS.
Total This is the total number of ROEs marked late for the processing month.
Out of Sequence Events Daily Summary Report
OATS Processing Date This is the date OATS received and processed the data submitted by the firm.
Event Type Code This indicates the type of event received by OATS.
Out of Sequence Count This is the number of accepted subsequent order events where the subsequent event's timestamp was earlier than the order receipt timestamp for the selected MP for the processing date.
Unmatched Executions Daily Summary Report
Unmatched Execution due to Data Error These are Execution or Combined Order/Execution Reports eligible for FINRA Trade Reporting Facility ("TRF") trade matching where OATS was unable to match the Execution Report to the related trade report in a TRF. These unmatched Execution Reports represent instances where the report was submitted timely, but could not be matched because one of the five fields required to match between OATS and the TRF trade report was incorrect or missing in either the OATS Execution Report or the TRF trade report.
OATS Processing Date This is the date OATS received and processed the data submitted by the firm.
Unmatched Execution Count This is the number of Execution or Combined Order/Execution Reports eligible for TRF trade matching where OATS was unable to match the Execution Report to the related trade report in TRF.
Total This is the total number of Execution or Combined Order/Execution Reports eligible for TRF trade matching where OATS was unable to match the Execution Report or Combined Order/Execution to the related trade report in a TRF for the processing month.
Unmatched Reason Code This is the OATS reason code for Unmatched Executions. Allowed values are:
  • 4001 - Late reported Execution or Combined Order/Execution;
  • 4002 - Matching Branch Sequence Number cannot be found;
  • 4003 - Execution Timestamp reported on the Execution event is not equal to the Trade Report; and
  • 4004 - Unmatched due to secondary execution match data error.
Unmatched Exchange Routes Daily Summary Report
Unmatched Routes due to Data Error These are Route or Combined Order/Route Reports with a Destination Code of "XQ" (The NASDAQ Stock Market ), "XB" (NASDAQ OMX BX), "XX" (NASDAQ OMX PHLX), "XN" (New York Stock Exchange), "XA" (NYSE American), and "XP" (NYSE Arca) and a Routing Method Code of "E" (Electronic) or "S" (Smart Router) where OATS was unable to match the Route or Combined Order/Route to the related order in the applicable exchange. These unmatched Route Reports represent instances where the report was submitted timely but could not be matched because one of the fields required to match between OATS and the applicable Exchange was incorrect or missing in either the OATS Route Report or the Exchange order.
OATS Processing Date This is the date OATS received and processed the data submitted by the firm.
Unmatched Route Count This is the number of Route or Combined Order/Route Reports eligible for Exchange route matching where OATS was unable to match the Route or Combined Order/Route Reports to the related order in the applicable exchange for the processing day.
Destination Code This is the code on the Route or Combined Order/Route Report indicating where the order was routed:

Exchanges:

  • XA = NYSE American
  • XB = NASDAQ OMX BX
  • XC =National Stock Exchange
  • XF= Non-US Exchange
  • XI = International Securities Exchange
  • XJ= EDGA Exchange
  • XK =EDGX Exchange
  • XM =Chicago Stock Exchange
  • XN =New York Stock Exchange
  • XO = Bourse de Montreal
  • XP = NYSE Arca
  • XQ =The NASDAQ Stock Market
  • XT =Toronto Stock Exchange
  • XV =TSX Venture Exchange
  • XW =CBOE Stock Exchange
  • XX =NASDAQ OMX PHLX
  • XY =BATS Y Exchange
  • XZ =BATS Exchange
 

Options Exchanges:

  • OA= NYSE American Options
  • OB =Boston Options Exchange, LLC
  • OC =Chicago Board Options Exchange
  • OI =International Securities Exchange
  • OJ =C2 Options Exchange
  • OP =NYSE= Arca Options
  • OQ =NASDAQ= OMX Options
  • OX =NASDAQ OMX PHLX Options
  • OZ =BATS Option Exchange
  • A =Affiliate, Not a FINRA Member
  • E = ECN
  • M = FINRA Member
  • N = Not a FINRA Member
By Destination Count This is the number of unmatched Route or Combined Order/Route Reports with a Destination Code of "XQ" (The NASDAQ Stock Market), "XB" (NASDAQ OMX BX), "XX" (NASDAQ OMX PHLX), "XN" (New York Stock Exchange), "XA" (NYSE American), and "XP" (NYSE Arca) for the processing day.
Total This is the total number of Route or Combined Order/Route Reports with a Destination Code of "XQ" (The NASDAQ Stock Market), "XB" (NASDAQ OMX BX), "XX" (NASDAQ OMX PHLX), "XN" (New York Stock Exchange), "XA" (NYSE American), and "XP" (NYSE Arca) and a Routing Method Code of "E" (Electronic) or "S" (Smart Router) where OATS was unable to match the Route or Combined Order/Route to the related order in the applicable exchange for the processing month.
Unmatched Reason Code This is the OATS reason code for Unmatched Exchange Route Reports. Allowed values are:
  • 4011 - Late Reported Route or Combined Order/Route;
  • 4012 - Matching Routed Order ID/Sent to Routed Order ID cannot be found; and
  • 4013 - Exchange Participant ID did not match
Note: Prior to October 17, 2011 4013 - Sent to Timestamp reported on the Route event is not equal to the NASDAQ Exchange Order) and 4014 - Unmatched due to secondary NASDAQ Route match data error.
Unmatched Interfirm Routes Daily Summary Report
Unmatched Interfirm Routes due to Data Error These are Route or Combined Order/Route Reports with a Destination Code of "M" (Member Firm) or "E" (ECN) and a Routing Method Code of "E" (Electronic) or "S" (Smart Router) where OATS was unable to match the Route or Combined Order/Route to the related new order submitted by the receiving firm. These unmatched Interfirm Route Reports represent instances where the report was submitted timely but could not be matched because one of the fields required to match between the sending firm's Route Report and the receiving firm's New Order Report was incorrect or missing in either the Route Report or related New Order Report.
OATS Processing Date This is the date OATS received and processed the data submitted by the firm.
Unmatched Interfirm Route Count This is the number of Route or Combined Order/Route Reports eligible for route matching where OATS was unable to match the Route or Combined Order/Route Reports to the related new order submitted by the receiving firm for the processing day.
Sent To MPID This is the MPID of the firm where the order was routed.
Sent To Count This is the number of unmatched Route or Combined Order/Route Reports for each unique "Sent To MPID" for the processing day.
Total This is the total number of Route or Combined Order/Route Reports with a Destination Code of "M" (Member Firm) or "E" (ECN) and a Routing Method Code of "E" (Electronic) or "S" (Smart Router) where OATS was unable to match the Route or Combined Order/Route to the related new order submitted by the receiving firm for the processing month.
Unmatched Reason Code This is the OATS code for Unmatched Interfirm Route Reports. Allowed values are:
  • 4021 - Late reported Route or Combined Order/Route;
  • 4022 - Matching Routed Order ID/Send to Routed Order ID cannot be found; and
  • 4023 - Sent to Market Participant ID did not match
Note: Prior to October 17, 2011 4023 - Sent to Timestamp reported on the Route report is not within allowable timestamp difference of Order Received Timestamp on the Order Receipt 4024- Unmatched due to secondary Interfirm match data error.
Unmatched Interfirm Routes Received Daily Summary Report
Unmatched Interfirm Routes Received due to Data Error These are Route or Combined Order/Route Reports with a Destination Code of "M" (Member Firm) or "E" (ECN) and a Routing Method Code of "E" (Electronic) or "S" (Smart Router) where the selected MPID is identified as the Sent To Firm MPID and where OATS was unable to match the Route or Combined Order/Route to the related new order. These unmatched Interfirm Routes Received represent instances where the report was submitted timely but could not be matched because one of the fields required to match between the sending firm's Route Report and the receiving firm's new order report was incorrect or missing in either the Route Report or the related New Order Report.
OATS Processing Date This is the date OATS received and processed the data submitted by the firm.
Unmatched Interfirm Routes Received Count This is the number of Route or Combined Order/Route Reports that did not match to a related new order for the processing day.
Sending Firm MPID This is the MPID of the firm who routed the order.
Received Count This is the number of unmatched Route or Combined Order/Route Reports for each unique Sending Firm MPID for the processing day.
Total This is the total number of Route or Combined Order/Route Reports with a Destination Code of "M" (Member Firm) or "E" (ECN) and a Routing Method Code of "E" (Electronic) or "S" (Smart Router) where the selected MPID is identified as the Sent To Firm MPID and where OATS was unable to match the Route or Combined Order/Route to the related New Order for the processing month.
Unmatched Reason Code This is the OATS code for Unmatched Interfirm Route Reports. Allowed values are:
  • 4021 - Late reported Route or Combined Order/Route;
  • 4022 - Matching Routed Order ID/Send to Routed Order ID cannot be found; and
  • 4023 - Sent to Market Participant ID did not match
Note: Prior to October 17, 2011 4023 - Sent to Timestamp reported on the Route report is not within allowable timestamp difference of Order Received Timestamp on the Order receipt 4024- Unmatched due to secondary interfirm match error.
Unrepaired, Repairable Rejected ROE Daily Summary Report
OATS Processing Date This is the date OATS received and processed the data submitted by the firm.
Unrepaired Reject Count This is the number of unrepaired, repairable rejected ROEs for the selected MPID for the OATS Processing Date. This number includes ROEs that rejected on the given date for reasons other than Reject Reason Codes 2029 (Issue is not reportable to OATS) and 3501 (Duplicate Order Event). Please note: This number only includes repairable rejections not repaired by the 5th business day of the month following the processing month.
OATS Reason Code This is the code used to identify the reason why a ROE was rejected. A list of all reject reason codes is available in Appendix B of the OATS Reporting Technical Specifications.
Reason Count This is the number of order events rejected by OATS by reason code. A ROE may be rejected for more than one reason; therefore, the same ROE may be included in multiple Reason Codes. However, those reports that are rejected for more than one reason are only counted once as an unrepaired rejection in the total reject count.
Total This is the total number of unrepaired, repairable rejected ROEs for the processing month. Because each ROE is only counted once even if it is rejected for multiple reasons, the Total count may not be equal to the sum of the reason count across all days in the month.
Reporting Exception Code Daily Summary
OATS Processing Date This is the date OATS received and processed the data submitted by the firm.
Reporting Exception Code This indicates the type of Reporting Exception Code submitted (A,T,M,P,R or F)
Reporting Exception Code Count by REC This is the number of accepted Execution Reports reported with a Reporting Exception Code by type.
Reporting Exception Code Count By Day This is the number of accepted Execution Reports reported with a Reporting Exception Code for the processing day.
Total This is the total number of Execution Reports submitted with a Reporting Exception Code for the processing month.

Detail Data

Term

Definition

Detail of Unmatched Executions due to Data Error
Primary MPID This is the Primary MPID of the MP submitting the order report.
OATS Processing Date This is the date OATS received and processed the data submitted by the firm.
Issue Symbol The unique symbol for an OATS reportable security.
Order Sending Organization This is the name of the Order Sending Organization (OSO).
Branch/Sequence Identifier This is the alphanumeric Branch/Sequence identifier referencing a TRF trade report, as reported by the firm to OATS in an Execution Report.
Firm Order ID This is the order ID assigned by the order receiving firm.
Order Received Date This is the date the order was received by the firm.
Execution Timestamp This is the date and time the execution took place as reported by the firm.
Firm MPID This is the unique identifier of the member firm.
Unmatched Reason Code This is the OATS code for Unmatched Executions. Allowed values are:
  • 4001 - Late reported Execution or Combined Order/Execution;
  • 4002 - Matching Branch Sequence Number cannot be found;
  • 4003 - Execution Timestamp reported on the Execution event is not equal to the Trade Report; and
  • 4004 - Unmatched due to secondary execution match data error.
Detail of Out of Sequence Events
Primary MPID This is the Primary MPID of the MP submitting the order report.
OATS Processing Date This is the date OATS received and processed the data submitted by the firm.
Issue Symbol The unique symbol for an OATS reportable security.
Order Sending Organization This is the name of the Order Sending Organization (OSO).
Firm Order ID This is the order ID assigned by the order receiving firm.
Order Received Date This is the date the order was received or originated.
Original Order Event Timestamp This is the date and time the order was received or originated.
Subsequent Order Event Timestamp This is the date and time the related order was acted on.
Subsequent Event Type Code This indicates the type of secondary event (Route, Cancel, or Execution) received by OATS.
Original Event Type Code This indicates the type of original event (New, Cancel/Replace, or Combination) received by OATS.
Firm MPID This is the unique identifier of the member firm.
Detail of Unmatched Exchange Route Reports due to Data Error
Primary MPID This is the Primary MPID of the MP submitting the order report.
OATS Processing Date This is the date OATS received and processed the data submitted by the firm.
Issue Symbol ID The unique symbol for an OATS reportable security.
Order Sending Organization Name This is the name of the Order Sending Organization (OSO).
Firm Order ID This is the order ID assigned by the order receiving firm.
Order Received Date This is the date the order was received by the firm.
Routed Order ID This is the Order ID passed by the order sending firm to the applicable exchange.
Exchange Participant ID Firm identifier assigned by the exchange.
Connection ID The unique identifier representing the name of the connection used when routing to a national securities exchange.
Routing Method Code This field indicates if the order was sent electronically or non-electronically.
  • E = Electronic; or
  • N= Manual
  • S= Smater Router
Routed Shares Quantity This is the number of shares routed to an Exchange.
Sent to MPID This is the MPID of the firm where the order was routed.
Order Sent Timestamp This is the date and time an order was sent to an Exchange.
Firm MPID This is the unique identifier of the member firm.
Destination Code This field indicates whether the Route Report or Combined Order/Route Report was routed to a FINRA Member, ECN or Exchange.
 

Exchanges:

  • XA = NYSE American
  • XB = NASDAQ OMX BX
  • XC =National Stock Exchange
  • XF= Non-US Exchange
  • XI = International Securities Exchange
  • XJ= EDGA Exchange
  • XK =EDGX Exchange
  • XM =Chicago Stock Exchange
  • XN =New York Stock Exchange
  • XO = Bourse de Montreal
  • XP = NYSE Arca
  • XQ =The NASDAQ Stock Market
  • XT =Toronto Stock Exchange
  • XV =TSX Venture Exchange
  • XW =CBOE Stock Exchange
  • XX =NASDAQ OMX PHLX
  • XY =BATS Y Exchange
  • XZ =BATS Exchange

Options Exchanges:
  • OA= NYSE American Options
  • OB =Boston Options Exchange, LLC
  • OC =Chicago Board Options Exchange
  • OI =International Securities Exchange
  • OJ =C2 Options Exchange
  • OP =NYSE= Arca Options
  • OQ =NASDAQ= OMX Options
  • OX =NASDAQ OMX PHLX Options
  • OZ =BATS Option Exchange
  • A =Affiliate, Not a FINRA Member
  • E = ECN
  • M = FINRA Member
  • N = Not a FINRA Member
Unmatched Reason Code This is the OATS code for Unmatched NASDAQ Exchange Route Reports. Allowed values are:
  • 4011 - Late Reported Route or Combined Order/Route;
  • 4012 - Matching Routed Order ID/Sent to Routed Order ID cannot be found; and
  • 4013 - Exchange Participant ID did not match
Note:Prior to October 17, 2011 4013- Sent to Timestamp reported on the Route event is not equal to the NASDAQ Exchange Order 4014 - Unmatched due to secondary NASDAQ Route match data error.
Detail of Unmatched Interfirm Route Reports due to Data Error
Primary MPID This is the Primary MPID of the MP submitting the order report.
Order Sending Organization Name This is the name of the Order Sending Organization (OSO).
Firm Order ID This is the order ID assigned by the order receiving firm.
Order Received Date This is the date the order was received by the firm.
Firm MPID This is the unique identifier of the member firm.
Routed Order ID This is the Order ID passed by the order sending firm to the order receiving firm.
Routing Method Code This field indicates if the order was sent electronically or non-electronically.
  • E = Electronic; or
  • N = Manual
  • S = Smart Router
Connection ID The unique identifier representing the name of the connection used when routing to another member.
Event Type Code This is a code indicating if the event is a Route Report (RT) or a Combined/Order Route Report (OR).
Issue Symbol The unique symbol for an OATS reportable security
Order Sent Timestamp This is the date and time an order was sent to the receiving firm.
Routed Shares Quantity This is the number of shares routed to the receiving firm.
OATS Processing Date This is the date OATS received and processed the data submitted by the firm.
Sent to MPID This is the MPID of the firm where the order was routed.
Destination Code This field indicates whether the Route Report or Combined Order/Route Report was routed to a FINRA Member, Non-FINRA Member, ECN or Exchange.

 

Exchanges:

  • XA =NYSE American
  • XB =NASDAQ OMX BX
  • XC = National Stock Exchange
  • XF= Non-US Exchange
  • XI = International Securities Exchange
  • XJ= EDGA Exchange
  • XK = EDGX Exchange
  • XM =Chicago Stock Exchange
  • XN =New York Stock Exchange
  • XO = Bourse de Montreal
  • XP =NYSE Arca
  • XQ =The NASDAQ Stock Market
  • XT =Toronto Stock Exchange
  • XV =TSX Venture Exchange
  • XW =CBOE Stock Exchange
  • XX =NASDAQ OMX PHLX
  • XY =BATS Y Exchange
  • XZ =BATS Exchange

Options Exchanges:
  • OA= NYSE American Options
  • OB = Boston Options Exchange, LLC
  • OC = Chicago Board Options Exchange
  • OI = International Securities Exchange
  • OJ = C2 Options Exchange
  • OP = NYSE= Arca Options
  • OQ =NASDAQ= OMX Options
  • OX =NASDAQ OMX PHLX Options
  • OZ =BATS Option Exchange
 
  • A = Affiliate, Not a FINRA Member
  • E = ECN
  • M = FINRA Member
  • N = Not a FINRA Member
Unmatched Reason Code This is the OATS code for Unmatched Interfirm Route Reports. Allowed values are:
  • 4021 - Late reported Route or Combined Order/Route;
  • 4022 - Matching Routed Order ID/Send to Routed Order ID cannot be found; and
  • 4023 - Sent to Market Participant ID did not match
Note: Prior to October 17, 2011 4023- Sent to Timestamp reported on the Route reports is not within allowable timestamp difference of Order Received Timestamp on the Order receipt 4024- Unmatched due to secondary Interfirm match data error.
Detail of Unmatched Interfirm Routes Received due to Data Error
Primary MPID This is the Primary MPID of the MP identified in the Sent To MPID field on the Route or Combined Order/Route Report.
Firm MPID This is the MP identified in the Sent To MPID field on the Route or Combined Order/Route Report.
Routed Order ID This is the Order ID passed by the order sending firm to the order receiving firm.
Connection ID The unique identifier representing the name of the connection used when routing to another member firm.
Issue Symbol ID The unique symbol for an OATS reportable security. For exchange listed securities, the symbol format must follow the format published by the primary listing market.
Order Sent Timestamp This is the date and time an order was sent to the receiving firm.
Routed Shares Quantity This is the number of shares routed to the receiving firm.
OATS Processing Date This is the date OATS received and processed the data submitted by the firm.
Unmatched Reason Code This is the OATS code for Unmatched Interfirm Route Reports. Allowed values are:
  • 4021 - Late reported Route or Combined Order/Route;
  • 4022 - Matching Routed Order ID/Send to Routed Order ID cannot be found; and
  • 4023 - Sent to Market Participant ID did not match
Note: Prior to October 17, 2011 4023- Sent to Timestamp reported on the Route reports is not within allowable timestamp difference of Order Received Timestamp on the Order receipt 4024- Unmatched due to secondary Interfirm match data error.
Detail of Unrepaired Repairable Rejects
Primary MPID This is the Primary MPID of the MP submitting the order report.
OATS Processing Date This is the date OATS received and processed the data submitted by the firm.
Firm Order ID This is the order ID assigned by the order receiving firm.
Order Received Date This is the date the order was received by the firm.
Order Sending Organization Name This is the name of the Order Sending Organization (OSO).
Firm MPID This is the unique identifier of the member firm.
Issue Symbol Identifier The unique symbol for an OATS reportable security
Exchange Participant ID Firm identifier assigned by the exchange.
Connection ID The unique identifier representing the name of the connection used when routing to another member firm or national securities exchange.
Order Origination Code Identifies whether the order was received from a customer of the firm, originated by the firm, or whether the order was received from another Broker/Dealer.
Information Barrier ID The identifier of the information barrier in place for a trading unit that will meet the criteria of the no-knowledge exception in FINRA Rule 5320.02.
Reject Reason Code This is the code identifying the reason a ROE failed the OATS validation checks. These codes are defined in Appendix B of the OATS Reporting Technical Specifications on the OATS Web site.
Detail of Out of Sequence
Primary MPID This is the Primary MPID of the MP submitting the order report.
OATS Processing Date This is the date OATS received and processed the data submitted by the firm.
Issue Symbol The unique symbol for an OATS reportable security. For exchange listed securities, the symbol format must follow the format published by the primary listing market.
Order Sending Organization Name This is the name of the Order Sending Organization (OSO).
Firm Order ID This is the order ID assigned by the order receiving firm.
Order Received Date This is the date the order was received by the firm.
Original Order Event Timestamp This is the date and time the original order event took place.
Subsequent Order Event Timestamp This is the date and time the subsequent order event took place.
Subsequent Event Type Code This is the code denoting the type of order event:
  • CR = Cancel/Replace;
  • CL = Cancel;
  • DS = Desk Report;
  • RT = Route Report; and
  • EX = Execution Report.
Original Event Type Code This is the code denoting the type of order event:
  • NW = New Order;
  • OR = Combined Order/Route Report;
  • OE = Combined Order/Execution Report; and
  • CR = Cancel/Replace.
OATS Code This is the OATS code for Out of Sequence Events. Allowed values are:
  • 3003 - Order Sent Timestamp is prior to Order Received Timestamp;
  • 3007 - Desk Received Timestamp is prior to Order Received Timestamp ;
  • 3013 - Execution Timestamp is prior to Order Received Timestamp ;
  • 3019 - Cancel Timestamp is prior to Order Received Timestamp ; and
  • 3039 - Order Received Timestamp of Cancel/Replace event is prior to Order Received Timestamp of original event.
Note: Prior to October 17, 2011 3003- RT received more than 6 seconds before related NW, OR, OE or CR 3007- DS received more than 6 seconds before related NW, OR, OE, or CR 3013- EX received more than 6 seconds before related NW, OR, OE or CR 3019- CL received more than 6 seconds before related NW, OR, OE, or CR 3039- CR received more than 6 seconds before related NW, OR, OE, or CE.
Firm MPID This is the unique identifier of the member firm.
Detail of Reporting Exception Code Usage
Processing Date Primary MPID This is the Primary MPID of the MP submitting the order report.
Firm MPID This is the unique identifier of the member firm that submitted the order report.
Issue Symbol ID The unique symbol for an OATS reportable security.
Market Class Code This is the market class in which the issue trades.
Market Center ID This is the national securities exchange or transaction reporting system operated by registered securities association where the trade was reported. Allowed values are:
  • A - NYSE American
  • B - NASDAQ OMX BX
  • C - National Stock Exchange
  • F - Non-Us Exchange
  • I - International Securities Exchange
  • J - EDGA Exchange
  • K - EDGX Exchange
  • M - Chicago Stock Exchange
  • N - New York Stock Exchange
  • P - NYSE Arca
  • Q -The NASDAQ Stock Market
  • W - CBOE Stock Exchange
  • X - NASDAQ OMX PHLX
  • Y - BATS Y Exchange (BYX)
  • Z - BATS Exchange
FINRA transaction reporting systems:
  • DN - FINRA/NYSE Trade Reporting Facility
  • D - ADF
  • L- FINRA/NASDAQ Trade Reporting Facility
  • O - OTC Reporting Facility