Small Firm Resources for OATS
Following are "Frequently Asked Questions" regarding the Order Audit Trail System (OATS).
Beginning Monday, August 20, 2018, FINRA will require a change to all FIX trade reporting related to the processing of execution time during Daylight Savings Time (DST) changes. This update affects firms’ transaction reports for all FINRA Multi Product Platform products (MPP), including TRACE, the OTC Trade Reporting Facility (ORF), and The Alternative Display Facility (ADF).
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Posted: March 26, 2020
The latest edition of the OATS Reporting Technical Specifications dated March 26, 2020 is now available.
This edition includes updates related to the onboarding of the Long-Term Stock Exchange. The changes will be effective in the OATS Certificate Test Environment on April 24, 2020 and in the OATS Production Environment on May 15, 2020.
In addition,
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Arbitration Statistics Through December
Historical Statistics for Cases Filed and Closed
Top 15 Controversy Types in Customer Arbitrations
Top 15 Security Types in Customer Arbitrations
Top 15 Controversy Types in Intra-Industry Arbitrations
How Arbitration Cases Close
Results of Customer Claimant Arbitration Award Cases
Results of All-Public Panels and Majority
Effective Monday, March 12, 2018, the FINRA TRACE, ADF and ORF Web API reference data downloads will no longer be accessible using the Transport Layer Security (TLS) 1.0 protocol
TRF Exchange Participants
FINRA Requests Comment on Proposed New Rule Governing Outside Business Activities and Private Securities Transactions
The eFOCUS system provides firms with the capability to electronically submit their Financial and Operational Combined Uniform Single (FOCUS) Reports to FINRA. FINRA member firms are required to compose and submit FOCUS reports to FINRA pursuant to SEC Rule 17a-5.
