Proposed Rule Change to Amend Rule 7730 to Establish Fees for the New TRACE Security Activity Report and End-of-Day TRACE Transaction File
October 24, 2002
NASD plans to implement its next regular quarterly release for the fourth quarter of 2002 (2002.4) into the testing environment on December 2, 2002 and into the production environment on December 16, 2002. This release contains one enhancement that may require changes to firms' system codes.
Originating MPID
NASD is adding a field called "Originating MPID" to
May 2, 2003The 2nd Quarter 2003 OATS release currently scheduled for July 28, 2003, contains certain enhancements that will require coding changes on the part of member firms and OSOs. Therefore, NASD is providing advance notice to members and OSOs so that they may plan accordingly. NASD is expecting to publish the full Technical Specifications by mid-May. These enhancements are being implemented
Proposed Rule Change to Make Permanent the TRACE Exemption in FINRA Rule 6730(e)(4)
The purpose of unclaimed property laws is to protect consumers by ensuring money owed to them can be returned to them or any heirs. But those same laws can cause headaches for consumers who don't stay on top of their accounts.
On September 28, 2005, the SEC approved rule filing SR-NASD-00-23 relating to the OATS rules.
The Subscriber Manual is a companion document to the OATS Reporting Technical Specifications.
FINRA Updates Designation Criteria to Require Firms Reporting U.S. Treasury Securities to TRACE to Participate in FINRA’s Business Continuity/Disaster Recovery Testing
The OATS Reporting Technical Specifications document covers the requirements and procedures for clock synchronization; system access requirements for supplying OATS files to FINRA
FINRA publishes information about the Order Audit Trail System (OATS) on a regular basis via an online newsletter titled The OATS Report.
