FINRA released a new edition of the OATS Reporting Technical Specifications dated May 3, 2011. The changes described in this version of the OATS Reporting Technical Specifications include all required changes related to FINRA’s rule changes expanding the OATS Rules to all NMS stocks (SR-FINRA-2010-44), along with other technical enhancements.
FINRA Guidance on OATS Order Trade Matching Obligations for Orders Matched as Agent by a Member, including an ECN or ATS
To assist programmers with system coding, FINRA is publishing this companion grid to show acceptable combinations of the Order Origination Code, Account Type Code and Member Type Code populated on New Order Type Reports. This document should be used in conjunction with the OATS Reporting Technical Specifications. Additional information on the associated validations can be found in Appendix B of
The SEC has
SR-FINRA-2018-013 - Approval Order
a proposed rule change to establish a new FINRA Trade Reporting Facility in conjunction with Nasdaq (the FINRA/Nasdaq TRF Chicago). The FINRA/Nasdaq TRF Chicago provides FINRA members with another mechanism for reporting over-the-counter trades in NMS stocks and complying with FINRA’s requirements with respect to back-
FINRA Encourages Firms to Notify FINRA if They Engage in Activities Related to Digital Assets
On November 12, 2010, the SEC approved FINRA’s proposed rule change SR-FINRA-2010-044 to expand the OATS Rules to all NMS stocks. The changes will be effective 180 days after publication of the Regulatory Notice and related OATS Reporting Technical Specifications. For more information, please review the SEC's Approval Order.
Beginning Thursday, November 1, 2018, FINRA will discontinue processing the FINRA-Bloomberg Active U.S. Corporate Bond Indices.
The following FINRA TRACE Corporate and Agency (CA) API files will continue to have historical data available for download for the February 4, 2011 through October 31, 2018 period:
Indices (Investment Grade, High Yield)
10 Most Active Index Bonds (Investment Grade,
FINRA Amends Capital Acquisition Broker Rule 331 to Conform to FinCEN’s Final Rule on Customer Due Diligence Requirements for Financial Institutions
SEC Approves Rule Change to Modify the Dissemination Protocols for Agency Debt Securities
