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
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
Order Audit Trail System (OATS)
Order Marking
SEC Regulation SHO
Short Sales
Executive Summary
NASD, in conjunction with The Nasdaq Stock
REQUEST FOR COMMENT
Order Audit Trail System (OATS)
Comment Period Expires: January 20, 2005
SUGGESTED ROUTING
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
On Thursday, April 21, 2016, FINRA will hold an industry call and WebEx presentation to discuss the Tick Size Pilot Data Collection efforts.
Release DateSystemAreaDescriptionDecember 20, 2023FINRA GatewayFINRA Contacts System (FCS)Automated the Email Reminder Process for FCS Annual ReviewFirst email reminder will be sent to Executive Representative (ER), Designated Assistant for ER and Chief Compliance Officer on the first business day of the calendar year.Second email reminder will be sent on the 10th business day of each calendar
FINRA does not regulate mutual funds directly, but regulates the broker-dealers and registered representatives that sell mutual funds. In this capacity, FINRA enforces rules on mutual fund advertising, sales practices, including the sales loads that broker-dealers may charge, the incentives provided to registered representatives and the execution of mutual fund portfolio transactions.
Before you leave the military, take advantage of the many benefits the service provides, and make decisions about replacing those you may lose.
On December 8, 2016, FINRA filed with the SEC a proposed rule change for immediate effectiveness relating to Rule 4554 reporting requirements for Alternative Trading Systems (“ATSs”). Specifically, FINRA amended Rule 4554 to require ATSs to provide additional order sequencing information on reports submitted to the Order Audit Trail System (“OATS”).
Rule 4554(b) originally
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.
