To assist programmers with system coding, FINRA is publishing this companion grid to show acceptable combinations of the Order Origination Code, Account Type Code and Member Type Code populated on New Order Type Reports. This document should be used in conjunction with the OATS Reporting Technical Specifications. Additional information on the associated validations can be found in Appendix B of
View past OATS Reporting Technical Specifications. These pages are listed in reverse chronological order by release date.
As part of its Transparency Services improvement initiative, FINRA will re-platform the TRACE Corporate and Agency product to a new Linux-based operating system. The implementation date for this initiative is Monday, October 21, 2024. On October 21, 2024, FINRA will introduce a new protocol to the TRACE Corporate and Agency Data feeds – ATDS, BTDS, and BTDS-144A. TRACE data feed clients
FINRA Expands the Order Audit Trail System to All NMS Stocks
In observation of Independence Day, the ORF System will be closed on Thursday, July 4, 2024. Please be advised that the ORF system will close early on Wednesday, July 3, 2024. See the table below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions. Market SessionNormal
In observation of Independence Day, the FINRA/Exchange Trade Reporting Facilities (TRFs) will be closed on Thursday, July 4, 2024. Please be advised that the TRFs will close early on Wednesday, July 3, 2024. See the tables below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.NYSE
In observation of Independence Day, the FINRA Alternative Display Facility (ADF) will be closed on Thursday, July 4, 2024. Please be advised that the ADF will close early on Wednesday, July 3, 2024. See the table below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.Market
In observation of Independence Day, the TRACE system will be closed on Thursday, July 4, 2024. Please be advised that the TRACE system will close early on Wednesday, July 3, 2024. See the table below for a schedule of modified hours (these hours also apply to BTDS/ATDS/SPDS/144A). Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776
GUIDANCEOATS Reporting RequirementsEffective Date: February 14, 2005SUGGESTED ROUTINGKEY TOPICSInternal AuditLegal & ComplianceOperationsSenior ManagementSystemsTradingOATSRule 6954(c)Executive SummaryOn September 17, 2004, the Securities and Exchange Commission (SEC) approved amendments to Rule 6954(c) to require that electronic communication networks (ECNs) that electronically receive
