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Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to eliminate the Order Audit Trail System (“OATS”) rules in the FINRA Rule 7400 Series and FINRA Rule 4554 (Alternative Trading Systems — Recording and Reporting Requirements of Order and Execution Information for NMS Stocks) once members are
The latest edition of the OATS Reporting Technical Specifications dated July 31, 2020 is now available.
This edition includes updates related to:
The delayed onboarding of the Long-Term Stock Exchange for Exchange Route Matching. Specifically, the Market Center ID related to the LTSE was revised to “XL”, a change from what was specified in the previous Technical Specifications dated March 26,
(a) In accordance with Rule 1004 of SEC Regulation SCI, FINRA will designate members that will be required to participate in FINRA's periodic, scheduled testing of its business continuity and disaster recovery (BC/DR) plan. FINRA will do so according to established criteria that are designed to ensure participation by those members that FINRA reasonably determines are, taken as a whole,
A member inter-dealer quotation system (whether or not also an alternative trading system or “ATS” as defined by Rule 300(a) of SEC Regulation ATS) that permits quotation updates on a real-time basis in OTC Equity Securities must comply with the following requirements:
(a) The member inter-dealer quotation system must establish, maintain and enforce written policies and procedures relating to
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In accordance with National
There will be a traffic interruption in fileX service in PROD environment for the duration below. Users can re-establish connection and resume file transfers after the maintenance window.PROD: Saturday June 22, 2024 from 10:00 am a.m to 1:00 p.mContact FINRA Support Center at (800) 321-6273, or by email, if you have any questions.
FINRA Updates Designation Criteria to Require Firms Reporting U.S. Treasury Securities to TRACE to Participate in FINRA’s Business Continuity/Disaster Recovery Testing
Individuals with Limited English Proficienc)y (LEP) can request additional time to complete a qualification examination or Regulatory Element Continuing Education (CE) session.
Expungement, as an extraordinary remedy, should be recommended only in circumstances in accordance with FINRA rules to remove clearly inaccurate customer dispute information from the record of an individual broker that is associated with a broker-dealer firm.
The Daily Total Summary Data and Detail Data Download files for the OATS Compliance Report Card provide underlying totals and detail of the data contained in the monthly summary OATS Compliance Report Card.
The tables below represent the data within the Daily Totals Summary Report Card and the Detail Data Download files.
Summary Definitions and Data Fields
Term
Definition