FINRA Rebranding Impacts to OATS Submissions
As you may know, the consolidation of NASD and NYSE Member Regulation into a single self-regulatory organization, the Financial Industry Regulatory Authority (FINRA), became effective July 30, 2007. Below is an overview of how this consolidation will impact the reporting process for OATS users:
- Email users – must obtain new email encryption certificate and send to a new email address,
- FTP users – must reference a new DNS name
- IFT users – must reference a new DNS name
- Web users – must use a new Web address to access the OATS Web site
The chart below provides more details. Please note that all OATS-related NASD URL, DNS and email addresses will retire October 1, 2007.
| Method | As of August 27th | Effective October 1st |
|---|---|---|
| No changes required. Firms using email must continue to submit to OATS using the following addresses: PD: [email protected] CT: [email protected] Firms will continue to receive status from the following addresses: PD: [email protected] CT: [email protected] |
On October 1st, prior to submitting data, all firms using email to submit to OATS MUST request a new certificate for both the PD and CT environments. The email addresses for requesting the new OATS email certificate are: PD: [email protected] CT: [email protected] For additional instructions on requesting an OATS email certificate, please refer to the " " document. Firms may only submit to OATS using the following addresses: PD: [email protected] CT: [email protected] In addition, the following email addresses will no longer be valid: PD: [email protected] CT: [email protected] |
|
| FTP | Firms may begin to access OATS via FTP using the following DNS names: PD: oats-ftp.finra.org CT: oatstest-ftp.finra.org Firms are strongly encouraged to migrate to the new DNS names prior to October 1, 2007 deadline. |
Firms will no longer be able to connect to OATS using the following DNS names: PD: oats-ftp.nasd.com CT: oatstest-ftp.nasd.com Firms may only connect to OATS using the following DNS names: PD: oats-ftp.finra.org CT: oatstest-ftp.finra.org |
| IFT | Firms will be able to access OATS via IFT using the following DNS names: PD: ift.finra.org CT: iftcert.finra.org Firms are strongly encouraged to migrate to the new DNS names prior to October 1, 2007. |
Firms will no longer be able to connect to OATS using the following DNS names: PD: ift.nasd.com CT: iftcert.nasd.com Firms may only connect to OATS using the following DNS names: PD: ift.finra.org CT: iftcert.finra.org |
| Web | Firms may begin to access the OATS website using the following addresses: PD: https://gateway.finra.org CT: https://firmstest.finra.org Firms are strongly encouraged to update "Bookmarks" or "Favorites" prior to October 1, 2007. |
Firms will no longer be able to connect to OATS using the following URLs: PD: https://oats.nasd.com CT: https://oatstest.nasd.com Firms may only connect to OATS using the following addresses: PD: https://gateway.finra.org CT: https://firmstest.finra.org |
Business and Technology Support
| Technical Support | Business Support | |
|---|---|---|
| Telephone: | (800) 321-6273 | (800) 321-6273 |
| Fax: | (240) 386-6499 | (240) 386-4841 |
| Email: | [email protected] | [email protected] |
| Web: | http://www.finra.org | http://www.finra.org |
To get more information about OATS, visit http://www.finra.org/oats.