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Subscriber Manual

The latest edition of the OATS Subscriber Manual has a publication date of November 19, 2007. It incorporates changes made to the OATS system web interface since November 20, 2006. The document was originally published October 13, 1998, and was revised three times in 1999; three times in 2000; twice in 2001 and three times in 2002. The document has since been revised four times in 2003, three times in 2004, four times in 2005 four times in 2006.

The Subscriber Manual presents information and procedures required to perform the following tasks:

  • Using the OATS Phase III Reporting Tool;
  • Accessing the OATS application on the Web;
  • Performing self-administration of user accounts and contact information;
  • Sending (and testing the capability to send) order data to OATS via FTP, IFT, email, and the Web;
  • Repairing and resubmitting records via the Web;
  • Obtaining file status, record rejections, and reporting statistics; and
  • Creating OSO Relationships.

This edition of the Subscriber Manual incorporates changes made to the OATS system web interface since the November 20, 2006 edition.

The Subscriber Manual is a companion document to the OATS Reporting Technical Specifications. The Technical Specifications provides descriptions of order and reporting responsibilities, Reportable Order Event record (ROE), and Firm Order Report file (FORE) layouts.

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If you are having problems accessing these, please contact FINRA Business and Technology Support Services at (800) 321-6273.