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.
This filing has been withdrawn.
NASD, through its subsidiary, The Nasdaq Stock Market, Inc. (“Nasdaq”), is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to exempt from NASD Rule 3350, the short sale rule, sales in Nasdaq National Market (“NNM”) securities reported to the Nasdaq Market Center trade reporting service comprising the “riskless” portion of a
Beginning July 11, 2011 with the implementation of the OATS for all NMS Stocks release in OATS Production, firms will receive feedback related to ROE rejections as per the following.
FINRA offers the Free Trial program to all TRACE Vendors who sign the
TRACE Free Trial Addendum
. Participating Vendors must adhere to the below requirements:
Vendors must maintain their own trial agreement/contract with the prospective client.
The Free Trial of TRACE Data must be run at the same time as a free trial of the vendors' system/interrogation
On September 28, 2005, the SEC approved rule filing SR-NASD-00-23 relating to the OATS rules.
Online Arbitration Claim Filing Pilot Program
