November 2, 1999
Submitting ROEs via the OATS Web interface is a two-step process of creating, repairing, or correcting the ROE, and then sending it to OATS. Some Order Sending Organizations have been neglecting the second step of actually sending the order data to OATS. Use the following procedure to send order data to OATS after you create or repair them via the OATS Web interface:
Click
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
October 4, 2000
OSO Administrators at NASD member OATS reporting firms are responsible for maintaining a list of contacts with whom OATS technical and regulatory staff can communicate concerning a variety of issues. The contact types required by OATS are:
Administrator—The primary contact for the OATS program.
Technical Support Contact—Assists the NASD in resolving OATS-related technical
April 19, 2001
On May 7, 2001, the Order Audit Trail System (OATS) will be instituting functionality that provides member firms with control of who submits OATS data on firms’ behalf. This document includes instructions on to how to build a header record, as well as how to create/maintain the relationships between the firm and its Order Sending Organizations (OSOs).
With the new functionality,
November 26, 2001
OSO (Order Sending Organizations) Administrators at OATS Transmitting and Reporting firms are responsible for maintaining a list of contacts with whom OATS technical and regulatory staff can communicate concerning a variety of OATS issues. There are three types of OATS contacts:
OATS Administrator - The primary contact for the OATS program.
OATS Technical
SEC Approves the CAT Fee Dispute Resolution Process
Monthly Disciplinary Actions November 2017
November 26, 2001Periodically, important messages need to be broadcast to the OATS user community. The quickest medium is the OATS Announcements Page on the OATS Web Interface. The information posted to the OATS Announcement Page is usually urgent and may affect what you can process or see on the Web Site. It is very important that you monitor the OATS Announcements on a daily basis to see the
Proposed Rule Change Relating to the Trade Reporting Facility Limited Liability Company Agreements
June 21, 2002
NASD will begin providing statistical reports to members for orders electronically routed to a Nasdaq Execution System (NES) for which OATS was not able to match the OATS Route Report to the related NES order (i.e., SuperSOES, SOES, and SelectNet orders). These statistics will be provided on a new report titled the NES Unmatched Route Report that will be available beginning with
