June 29, 2001
Below is a list of fields and accepted values that are reported to OATS on the New Order Reports. Please compare the accepted values listed for the fields below with your traders and technical staff to verify that your procedures and systems comply with the information provided below.
Received Method Codes
Indicate whether the order was received electronically or non-
May 2, 2003
Below are the order report formats for the New Report, Cancel/Replace Report, Combined Order/Route Report, Combined Order Execution Report, Route Report, and Execution Report, which will be effective in the OATS Testing environment on July 14, 2003 and in the OATS Production environment on July 28, 2003.
New Order Report
Seq.
Name
Data Type (Length)
M/C
August 22, 2003All firms that report data to OATS directly or via a third party and all third parties that report data to OATS on behalf of a member firm must register with OATS and obtain an Administrator User ID and password. Once this initial Administrator User ID and password is established, the reporting party may then request additional user accounts with which to submit data and/or view
FINRA Requests Comment on the Efficacy of Allowing Compensated Non-Attorneys to Represent Parties in Arbitration
As announced in the December 15, 2008 OATS Reporting Technical Specifications, the Limit Order Display Indicator on the New Order, Combined Order/Route, Combined Order/Execution and Cancel/Replace reports is being renamed the “Customer Instruction Flag” to better reflect the purpose of the field.
Market capitalization, or market cap, is one measurement of a company's size. It is the total value of a company's outstanding shares of stock, which include publicly traded shares plus restricted shares held by company officers and insiders.
2017 Year in Review. Topics include: BrokerCheck, Licensing Requirements, Outside Business Activities, Financial Reporting and FINRA Board and Committee Elections.
Effective December 15, 2008, member firms that carry accounts and/or clear transactions or act as an intermediary to facilitate the clearance of accounts through another firm must report their clearing method and clearing arrangements through the FINRA Firm Gateway, a tool that provides firms consolidated access to FINRA applications.
FINRA Requests Comment on the Effectiveness and Efficiency of Its Rule on the Annual Compliance Meeting
FINRA Requests Comment on Proposed Amendments to the Quantitative Suitability Obligation Under FINRA Rule 2111
