November 26, 2001
OSO (Order Sending Organizations) Administrators at OATS Transmitting and Reporting firms are responsible for maintaining a list of contacts with whom OATS technical and regulatory staff can communicate concerning a variety of OATS issues. There are three types of OATS contacts:
OATS Administrator - The primary contact for the OATS program.
OATS Technical
SEC Approves the CAT Fee Dispute Resolution Process
Monthly Disciplinary Actions November 2017
November 26, 2001Periodically, important messages need to be broadcast to the OATS user community. The quickest medium is the OATS Announcements Page on the OATS Web Interface. The information posted to the OATS Announcement Page is usually urgent and may affect what you can process or see on the Web Site. It is very important that you monitor the OATS Announcements on a daily basis to see the
Proposed Rule Change Relating to the Trade Reporting Facility Limited Liability Company Agreements
June 21, 2002
NASD will begin providing statistical reports to members for orders electronically routed to a Nasdaq Execution System (NES) for which OATS was not able to match the OATS Route Report to the related NES order (i.e., SuperSOES, SOES, and SelectNet orders). These statistics will be provided on a new report titled the NES Unmatched Route Report that will be available beginning with
FINRA Requests Comment on a Proposal to Amend Rule 3110 (Supervision) to Provide Firms the Option to Conduct Remote Inspections of Offices and Locations That Meet Specified Criteria
April 15, 2002The time period to correct a New Order Report or a subsequent order event depends on how long it has been since the New Order Report was accepted by OATS. The system maintains two files for validating data it has accepted: the Day Order File and the GTC File. The Day Order File contains all DAY, GTT, and Market orders for a rolling five business days. The GTC File contains GTC, GTM
August 16, 2001NASD Regulation reminds all firms that any order events received on an OATS business day must be reported to OATS by 04:00 Eastern Time (04:00:00 A.M.) the next calendar day. Those reports not received by 04:00 (04:00:00 A.M.) will be marked late.An OATS business day begins the second after the close of the day session of The Nasdaq Stock Market on one market day and ends at the
