Comprehensive Automated Risk Data System
Regulatory Notice
Notice Type
Request for Comment
Suggested Routing
Compliance
Legal
Operations
Risk
Senior Management
Technology
Key Topics
Reporting Requirements
Referenced Rules &
Beginning Monday, November 6, 2023, as described in Regulatory Notice 22-28, FINRA will require firms to report transactions in U.S. dollar-denominated foreign sovereign debt securities to TRACE.
OATS Phase III Frequently Asked Questions
Following are "Frequently Asked Questions" regarding the Order Audit Trail System (OATS).
Following are "Frequently Asked Questions" regarding the Order Audit Trail System (OATS).
Frequently asked questions related to OATS reporting requirements to OTC NMS Stocks.
The Credit Risk Management, Liquidity Risk Management and Net Capital sections of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
SUGGESTED ROUTING
Senior Management
Corporate Finance
Syndicate
Executive Summary
On June 2, 1997, The Depository Trust Company (DTC) will launch its Initial Public Offering (IPO) Tracking System. Starting June 2, managing underwriters should be aware that for securities to be eligible for listing on The Nasdaq Stock Market, Inc., they must be "depository eligible
GUIDANCE
OATS Reporting Requirements
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
OATS
Rule 6950 Series
Executive Summary
Given the recent significant increase in Order Audit Trail System (OATS) volume, NASD is implementing several changes to the OATS
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.
