Order Audit Trail System (OATS) - ROT

FINRA has established the Order Audit Trail System (OATS), as an integrated audit trail of order, quote, and trade information for all NMS stocks and OTC equity securities. FINRA uses this audit trail system to recreate events in the life cycle of orders and more completely monitor the trading practices of member firms. Under FINRA Rules 7410 - 7470, FINRA member firms are required to develop a means for electronically capturing and reporting to OATS specific data elements related to the handling or execution of orders, including recording all times of these events in hours, minutes, and seconds, and to synchronize their business clocks. These Rules were approved by the SEC on March 6, 1998.

• Announcements
• FAQ
• Rules
• Small Firm Resources
• Registration and User Entitlement
• OATS Report
• OATS Expansion to all NMS Stocks
• Technical Specifications
• OATS Web Interface
• Reportable Securities
• Reportable Non-Members
• ATS NBBO Source Change Disclosure Form
• OATS Archive

FINRA’s OATS Helpdesk is the primary source of information about OATS. Technology support is available from 8 a.m. Monday to 8 a.m. Saturday. Business support is available from 8 a.m. to 6 p.m. Monday through Friday.

Contact FINRA’s OATS Helpdesk

• by email
• by phone at (800) 321-6273
• by fax at (888) 345-6275.

Please provide your name, title, firm's name, firm's Broker-Dealer Number (if applicable), and a phone number when contacting FINRA’s OATS Helpdesk by phone, fax or email.