October 5, 2000NASD member firms receiving orders in Nasdaq securities during after-hours sessions are required to submit those orders to the Order Audit Trail System (OATS) per NASD Rules 6950-6957, as they would report any other order in Nasdaq securities. The only difference is that after-hours orders are considered as received on the following OATS Business Day and, therefore, are not
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Beginning October 1, 2018
FINRA is restructuring its representative-level qualification exam program by creating the Securities Industry Essentials (SIE or Essentials) exam and revising the representative-level qualification exams.
The program is being restructured to:
Reduce duplicative testing of general knowledge when taking exams to register in multiple categories, and
Make it
December 4, 2000Section 4.1.4.3 of the OATS Reporting Technical Specifications, entitled "Order Routing to a Nasdaq Execution System," describes the requirements for recording and reporting the routing of orders to SOES and SelectNet. NASD Regulation would like to reiterate two requirements in this section.First, Section 4.1.4.3 requires that members must report "…the MPID of the
February 1, 2001With the February 1, 2001 implementation of the Riskless Principal Trade Reporting Rules, many firms have asked how to report riskless principal executions to OATS.If a firm either does not report a trade with a customer to ACT (NASD Notice to Members 99-65) or submits a "non-tape, non-clearing report" or a "clearing-only" report (NASD Notice to Members 00-79)
Securities Regulators Around the World Are Shining a Spotlight on Investor Education and Protection
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today announced its participation in the first World Investor Week, Oct. 2-8, to increase awareness of investor education and protection tools and information.
Throughout the week, FINRA and other securities regulators and
April 19, 2001In the February 1, 2001 edition of The OATS Report, the article entitled "Reporting Riskless Principal Executions to OATS" advised firms to use a Reporting Exception Code of "M" prior to the May 7 OATS release and "R" after the new release, whether using the Original Approach to Riskless Principal Trade Reporting (NASD Notice to Members 99-65) or the
June 29, 2001
Below is a list of fields and accepted values that are reported to OATS on the New Order Reports. Please compare the accepted values listed for the fields below with your traders and technical staff to verify that your procedures and systems comply with the information provided below.
Received Method Codes
Indicate whether the order was received electronically or non-
How to Download a Report From Web CRD
CRD constituents may choose to request a report or set of data that is not available through the standard reports library. For additional information, please refer to the Reports Quick Reference Guide.
An Ad Hoc Report can be customized by the requestor, within policy limits established by FINRA, to include a variety of data elements and will be delivered in the format requested by the
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