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Frequently asked questions related to OATS reporting requirements to OTC NMS Stocks.
The access and use of any information submission functions, content, materials, or services available on the Maintaining Qualifications Program (“MQP”) is conditioned upon the acceptance by you, without modification, of these terms of use, and the terms and conditions displayed at https://www.finra.org/terms-of-use are incorporated herein by reference (collectively, "Terms of Use").
Capital Acquisition Brokers (CABs) are firms that engage in a limited range of activities, including:
advising companies and private equity funds on capital raising and corporate restructuring, and
acting as placement agents for sales of unregistered securities to institutional investors under limited conditions.
Firms that elect to be governed under the CAB rule set are not permitted, among
As part of FINRA’s Digital Experience Transformation, FINRA will begin consolidating most compliance system-generated notifications that are sent to firms into one notification system.
System-generated notifications will begin coming in a new format from:
E-mail: [email protected]
IP Addresses: 54.240.34.43 and 54.240.34.44
The new change will take effect with FinPro notifications
The penny stock rules under the Exchange Act require broker-dealers engaging in certain over the counter transactions in low-priced stocks to provide customers with specified information. See Securities Exchange Act Release No. 30608 (April 20, 1992), 57 FR 18004 (April 28, 1992). The penny stock rules permit a broker-dealer to fulfill some of these disclosure obligations by relying on pricing
An alternative trading system (ATS) is an SEC-regulated trading venue in which a computerized system matches buy and sell orders of securities. An ATS is not a national securities exchange, an ATS may apply to the SEC to become a national securities exchange. An ATS that registers as a broker-dealer must also comply with the obligations associated with being a registered broker-dealer, including FINRA membership and compliance with FINRA rules.
(a) FINRA may provide a means to permit alternative trading systems ("ATSs"), as such term is defined in Regulation ATS, and electronic communications networks ("ECNs"), as such term is defined in Rule 600(b)(23) of SEC Regulation NMS, to comply with the display requirements of Rule 301(b)(3) of SEC Regulation ATS and the terms of the ECN display alternative provided for in
On Thursday, March 18th, FINRA will conduct the first of its planned updates related to OATS retirement. During the call, FINRA staff will provide an update to the industry related to the OATS retirement efforts, including an overview of the related rule filing, status on the required accuracy and reliability standards that must be met before OATS can be retired, and a look ahead at next steps
FINRA has updated its Guidance on OATS Exchange Route Matching to reflect changes necessary for firms to successfully match OATS routes to the related order on the Members Equity Exchange. Specifically, the update applies to Binary Users accessing the Members Equity Exchange and how to populate the Connection ID in OATS to ensure proper matching. If you have any concerns regarding this matter,
FINRA is changing the effective date for reporting equity-linked notes from August 4, 2008, to November 3, 2008.