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

Symbol Directory

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:

Field Name Definition
Issue_Sym_id Issue Symbol
Issue_Type_Cd Issue Type
American Depositary Shares
Bond
Common Stock
Bond Derivative
Depository Receipt
Corporate Bond
144A
Limited Partnership
Notes
Ordinary Shares
Preferred Stock
Other Securities
Right
Shares of Beneficial Interest
Convertible Debenture
Unit
Units/Benif Int
Warrant
Index Warrant
Unclassified
Issue_Short_Nm Issue Short Name
Status Issue Status
Active
Eligible
Ineligible
Mkt_Cat Market Category
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
Unit_of_Trade
(effective may 20, 2008)
Unit of Trade
Filler New Field - Field is reserved for future use.

Daily List

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).

Daily List http://www.otcbb.com
FTP Daily List ftp://ftp.otcbb.com
File name format: BB<MMDDYYYY>.txt


Nasdaq-listed Equity Securities

Symbol Directory

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

Daily List

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.

Daily List http://www.nasdaqtrader.com