The OATS Report Archive
FINRA publishes information about the Order Audit Trail System (OATS) on a regular basis via an online newsletter titled The OATS Report. Following are archives of information that were published in the past.
- OATS Guidance on the June 30, 2015 Leap Second (6/11/15)
- SEC Approves Proposed Rule Filing SR-FINRA-2011-063 (2/15/12)
- OATS Certificate Test Environment Changes (2/1/12)
- OATS Production and Certificate Test Environment Changes (7/21/11)
- FINRA Guidance on OATS Order Trade Matching Obligations for Orders Matched as Agent by a Member, including an ECN or ATS (1/12/11)
- Direct Edge Exchange Registration—OATS Impacts (3/19/10)
- NASDAQ OMX PSX and OATS (4/14/10)
- OATS Email Retirement (5/15/09)
- BATS Exchange Registration—OATS Impacts (8/18/08)
- NASDAQ BX and OATS (4/14/08)
- FINRA Rebranding Impacts to OATS Submissions (8/23/07)
- (8/23/07)
- NASDAQ Exchange Registration - OATS Reporting Changes (3/15/06)
- NASD Provides Additional Guidance Regarding OATS Reporting Changes Related to NASDAQ Exchange Registration (6/13/06)
- New Market Center ID for Proposed NASD/NSX Trade Reporting Facility (9/25/06)
- OATS Route Matching to the NASDAQ Single Book (10/12/06)
- New Market Center ID for Proposed NASD/BSE Trade Reporting Facility (10/24/06)
- Reportable Electronic Orders (4/6/04)
- NASD Provides Additional Guidance on OATS Reporting Obligations for Orders Routed to SuperMontage (5/31/05)
- Phase 3 Firms: Compliance Check (10/30/03)
- OATS Reporting Responsibilities for Orders Routed to, or Executions Reported on, Other Securities Exchanges (12/19/02)
- Matching Orders Routed to NASDAQ Execution Systems (12/19/02)
- Nasdaq Execution System Order Route Matching (6/21/02)
- Account Type Code (4/15/02)
- Received Method Code (4/12/02)
- Delay in the Implementation of the Bunched Order Indicator (4/12/02)
- Important Fields on OATS New Order Reports (6/29/01)
- Late Reporting (8/16/01)
- Notice of E-mail Receipt (8/16/01)
- Data Integrity Issues (10/5/00)
- Routed Orders to Nasdaq Execution Systems (12/4/00)
- OATS and Decimalization (12/4/00)
- Reporting Clarifications (11/2/99)