Guidance

We offer guidance to firms in the form of podcasts, webinars, FAQs, reports, and more. Use the toggle below to find guidance by topic, type or date. 

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FAQ
Trade Reporting Frequently Asked Questions
The guidance provided in this FAQ pertains to the reporting of over-the-counter (OTC) transactions in equity securities to a FINRA Facility (a Trade Reporting Facility (TRF), the Alternative Display Facility (ADF) or the OTC Reporting Facility (ORF)).
Compliance Tools
OATS Compliance Daily Report Card

The Daily Total Summary Data and Detail Data Download files for the OATS Compliance Report Card provide underlying totals and detail of the data contained in the monthly summary OATS Compliance Report Card.

The tables below represent the data within the Daily Totals Summary Report Card and the Detail Data Download files.

Summary Definitions and Data Fields

Term

Definition

Guidance
Interpretations of Rule 4210
The interpretations offer guidance to assist firms in complying with FINRA Rule 4210.