Guidance

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Compliance Tools
Guidance for Operational Readiness for Online Platforms and Mobile Applications

Overview

This guidance is intended to provide direction on key information for a prospective and existing FINRA member firm that is contemplating to engage in activities utilizing an online platform or mobile application.1 Under Standard 6 of FINRA’s Standards for Admission (Standard), an applicant’s online platform or mobile application that the applicant intends to employ for the purpose of conducting business with customers and other members must be adequate and provide reasonably for business continuity.

FAQ
Frequently Asked Questions (FAQ) regarding the Order Audit Trail System (OATS)
Following are "Frequently Asked Questions" regarding the Order Audit Trail System (OATS).