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Technical Notice

FINRA OATS Retirement – Specification Changes

November 16, 2021

Effective Wednesday, September 1, 2021, FINRA OATS Rules were deleted from the FINRA rulebook.  See Regulatory Notice 21-21 and OATS retirement notice.

FINRA has updated the Alternative Display Facility (ADF) and Over-the-Counter Reporting Facility (ORF) specifications to accommodate these changes and has renamed fields labeled “OATS” with “Compliance”.

Please contact FINRA Product Management or call (866) 899-2107 with questions regarding this notice.