Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
August 22, 2003Firms have several options now available to them for the transmission of OATS data, which must be transmitted electronically to NASD by 4:00 a.m. the morning after a particular market day. There are currently four reporting mechanisms as detailed below. Firms are responsible for reporting in a timely manner and for monitoring and repairing rejections.Private Network - Firms may
Notice of SFAB Election
and Ballots
Notice of FINRA District Committee Elections and Ballots
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
July 9, 2004
Below are the order report formats for the New Order Report, Execution Report, Combined Order/Route Report and Combined Order/Execution Report, which will be effective in the OATS Testing environment on September 20, 2004 and in the OATS Production environment on October 4, 2004. Further details will be forthcoming in the OATS Reporting Technical Specifications. If you have any
July 9, 2004
When an NASD member firm receives or originates an order and electronically routes that order to another member firm, the routing firm must provide a Routed Order ID to the receiving firm. (This requirement does not apply when routing to an ECN or to a non-member.) Both the routing firm and the receiving firm must record and report this Routed Order ID to OATS so that NASD is able
Monthly Disciplinary Actions October 2017
December 4, 2000NASD Regulation reminds firms that they must incorporate OATS into their Written Supervisory Procedures regardless of whether they are transmitting OATS data for themselves or if another entity is reporting on their behalf. Additionally, if another entity is reporting on behalf of the firm, the firm should have a copy of the written agreement with that entity, which specifically
February 1, 2001Many NASD members have inquired about OATS Written Supervisory Procedures and their responsibilities when using a Reporting Agent, such as a clearing firm or a service bureau, to transmit their OATS data to NASD Regulation.In the December 4, 2000 edition of The OATS Report, an article entitled OATS Written Supervisory Procedures provided guidance on what should be included by
