OATS for Reportable Securities
The OATS Rules require member firms to report to FINRA order information for Nasdaq-listed equity securities and OTC equity securities. Initial public offerings (IPOs), secondary offerings, Direct Participation Programs (DPPs), "restricted securities", as defined by SEC Rule 144(a)(3) under the Securities Act of 1933, and any securities designated in the PORTAL Market are not reportable to OATS.
OTC Equity Securities
The OTCBB.com Symbol Directory provides a list of all OTC and OTCBB equity securities representing the current trading day. The Symbol Directory contains the OATS Reportable Flag, which identifies if a symbol is OATS Reportable.
|Web Symbol Directory||http://www.otcbb.com/static/symbol.stm|
|Downloadable Symbol Directory||http://www.otcbb.com/dynamic/tradingdata/download/allotcbb_otherotc.txt|
|FTP Symbol Directory||ftp://ftp.otcbb.com/symboldirectory/allotcbb_otherotc.txt|
The Symbol Directory file is defined as follows:
American Depositary Shares
Shares of Beneficial Interest
|Issue_Short_Nm||Issue Short Name|
U - OTCBB
u - other-OTC
|OATS_Rptbl_Fl||OATS Reportable Flag
Y - Security is OATS Reportable starting February 4, 2008
N - Security is NOT OATS Reportable
(effective may 20, 2008)
|Unit of Trade|
|Filler||New Field - Field is reserved for future use.|
The OTCBB.com Daily List contains a list of new issues, symbol and name changes, and deleted issues for all OTC and OTCBB securities. The Daily List also includes changes to the OATS Reportable Flag. The Daily List is updated throughout the trading day between 8:00 a.m. and 8:00 p.m. (Eastern Time).
|FTP Daily List||ftp://ftp.otcbb.com
File name format: BB<MMDDYYYY>.txt
Nasdaq-listed Equity Securities
The NASDAQTrader.com Symbol Directory provides a list of all Nasdaq-listed equity securities representing the current trading day. Please note: All Nasdaq-listed equity securities are OATS reportable.
|Web Symbol Directory||http://www.nasdaqtrader.com/Trader.aspx?id=symbollookup|
|Downloadable Symbol Directory||http://www.nasdaqtrader.com/dynamic/SymDir/nasdaqlisted.txt|
The NASDAQTrader.com Daily List contains a list of new issues, symbol and name changes, and deleted issues for all Nasdaq-listed equity securities. The Daily List is updated throughout the trading day between 8:00 a.m. and 8:00 p.m. (Eastern Time). A subscription is required to obtain the Daily List.