OATS Reportable Security Daily List
In connection with the elimination of the Order Audit Trail System (OATS) rules the OATS Reportable Security List will remain static after August 31, 2021. Any questions can be directed to the OATS Help Desk at (800) 321-6273 or [email protected].
The OATS Reportable Security Daily List is a list of all NMS stocks and OATS reportable OTC equity securities representing the current trading day. FINRA publishes two files each day, one representing the list of reportable securities as of the start of the trading day (SOD) and a second file representing the list of reportable securities at the end of the trading day (EOD). The SOD OATS Reportable Security Daily List is published daily by 6:30 a.m.EST and the EOD OATS Reportable Security Daily List is published by 6:30 p.m.EST. The EOD file contains any securities added during the trading day. Securities deleted during the trading day are not included in the EOD file. To ensure all securities reportable during any given trading day are identified for reporting, firms are encouraged to use both the SOD and EOD files.
The OATS Reportable Security Daily List file is defined as follows:
|Field Name||Maximum data length||Definition|
|Symbol||14 characters||Issue Symbol
The unique symbol for the OATS Reportable security. For exchange listed securities, the symbol represents the format published by the primary listing market.
|Issue_Name||255 characters||Issue Name|
|Primary_Listing_Mkt||6 characters||Primary Listing Market
ARCA – NYSE Arca
AMEX – NYSE MKT
BATS – BATS – BZX Exchange
BX – NASDAQ OMX BX
CHX – Chicago Stock Exchange
IEX – The Investors Exchange
NASDAQ – The NASDAQ Stock Market
NYSE – New York Stock Exchange
U – Unlisted (OTC Equity Securities)
For the OATS Reportable Security Daily List SOD and EOD files see: