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Executive Summary
On March 6, 1998, the Securities and Exchange Commission (SEC) approved new National Association of Securities Dealers, Inc. (NASD® or Association) Rules 6950 through 6957 (Rules), which establish an Order Audit Trail SystemSM (
Frequently asked questions related to OATS reporting requirements to OTC equity securities.
FINRA released a new edition of the OATS Reporting Technical Specifications dated May 3, 2011. The changes described in this version of the OATS Reporting Technical Specifications include all required changes related to FINRA’s rule changes expanding the OATS Rules to all NMS stocks (SR-FINRA-2010-44), along with other technical enhancements.
FINRA publishes information about the Order Audit Trail System (OATS) on a regular basis via an online newsletter titled The OATS Report.
GUIDANCE
Issues Relating to the SEC's Adoption
of Regulation SHO
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KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
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Order Audit Trail System (OATS)
Order Marking
SEC Regulation SHO
Short Sales
Executive Summary
NASD, in conjunction with The Nasdaq Stock
Crypto assets—also known as digital assets—are assets that are issued or transferred using distributed ledger or blockchain technology. They include, but are not limited to, so-called “virtual currencies,” “coins,” and “tokens.” A particular crypto asset may or may not meet definition of a “security” under the federal securities laws. FINRA rules that relate to securities, or that do not depend on securities status, may impose obligations on the crypto asset-related activities of member firms and associated persons.
On Thursday, April 21, 2016, FINRA will hold an industry call and WebEx presentation to discuss the Tick Size Pilot Data Collection efforts.
REQUEST FOR COMMENT
Order Audit Trail System (OATS)
Comment Period Expires: January 20, 2005
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KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
OATS
Executive Summary
NASD is issuing this Notice to Members to solicit
FINRA in compliance with the provisions of the Americans with Disabilities Act (ADA) provides testing modifications and aids to candidates with disabilities and/or learning impairments that substantially limit a major life activity (e.g., learning, speaking, hearing, vision).
In observance of Christmas, the TRACE system will be closed on Wednesday, December 25, 2024. In observance of New Year’s Day, the TRACE system will be closed on Wednesday, January 1, 2025.
