GUIDANCE
OATS Reporting Requirements
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
OATS
Rules 6950–6958
Rule 9610(a)
Executive Summary
In November 2005, NASD issued Notice to Members (NTM) 05-78 announcing Securities
For individuals who are currently registered reps or employed with a firm, you should work with your firm’s compliance department to make sure that you are properly registered, provide your firm with timely updates to your record and understand your obligations as a Registered Rep.
While your firm manages most of your information, you can use the Financial Professional Gateway (FinPro) system to
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, FINRA’s Guidance on OATS
SUGGESTED ROUTING
Senior Management
Advertising
Corporate Finance
Legal & Compliance
Operations
Registration
Trading
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 (
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
Executive Summary
On December 3, 1998, the
On December 5, 2022, FINRA will re- platform the OTC Reporting Facility (ORF) to a new Linux-based operating system. This will include Trade Data Dissemination Service (TDDS) protocol changes FINRA previously announced.
A TDDS parallel production test period will run from Monday, November 7, 2022, through Friday, December 2, 2022. During this period both TDDS 2.0 multicast and TDDS 2.1
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,
Multi Factor Authentication (MFA) enhances the security of accounts by adding an additional layer of security beyond the Username and password. MFA is one of the most effective security controls currently available to protect against remote security hacks. Passwords are increasingly easy to compromise and are often stolen, guessed or hacked. MFA helps the account stay secure even if the password
Changes to Fees for Cancelling or Rescheduling a Qualification Examination or Regulatory Element Continuing Education Session
As part of its Transparency Services improvement initiative, beginning on February 26, 2024, FINRA will re-platform the TRACE for Treasuries (TS) product to a new Linux-based operating system. Testing your current TRACE for Treasuries processes and trade report validations are strongly recommended.
