Guidance

2019 Exam Findings Report
Best Execution
October 16, 2019
Notice
Regulatory Notice 07-39
August 30, 2007
Guidance
Additional Guidance Regarding the OATS Routing Method Code of I and Special Handling Code of ISO
July 12, 2007
FAQ
Regulation NMS OATS Frequently Asked Questions
Compliance Tools
Reg NMS Trade Through Report Card
Guidance
National Market System Plans