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Regulatory Notice 11-03
FINRA Expands the Order Audit Trail System to All NMS Stocks
Anti-Money Laundering, Fraud and Sanctions
The Anti-Money Laundering, Fraud and Sanctions topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
Notice to Members 06-17
GUIDANCE OATS Reporting Requirements SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Operations Registered Representatives Senior Management Systems Trading Training OATS Rules 6950–6958 Rule 9610(a) Executive Summary In November 2005, NASD issued Notice to Members (NTM) 05-78 announcing Securities
Notice to Members 05-78
GUIDANCE OATS Reporting Requirements Effective Date: May 8, 2006 SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Operations Registered Representatives Senior Management Systems Trading Training OATS Rules 6950–6957 Executive Summary On September 28, 2005, the Securities and Exchange Commission (SEC) approved amendments to Rules 6950 through 6957
Notice to Members 04-85
GUIDANCEOATS Reporting RequirementsEffective Date: February 14, 2005SUGGESTED ROUTINGKEY TOPICSInternal AuditLegal & ComplianceOperationsSenior ManagementSystemsTradingOATSRule 6954(c)Executive SummaryOn September 17, 2004, the Securities and Exchange Commission (SEC) approved amendments to Rule 6954(c) to require that electronic communication networks (ECNs) that electronically receive
Notice to Members 04-69
GUIDANCEOATS Reporting RequirementsSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceOperationsSenior ManagementOATSRule 6950 SeriesExecutive SummaryIn Notice to Members (NtM) 04-46 (June 2004), NASD announced that, beginning December 1, 2004, members would be required to use the Combined New Order/Route and Combined New Order/ Execution Reports (
Notice to Members 04-48
GUIDANCE OATS Execution Reporting Obligations Effective Date: October 4, 2004 SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Operations Senior Management Systems Trading OATS Rule 6954(d) Executive Summary On April 29, 2004, the Securities and Exchange Commission (SEC) approved amendments
Notice to Members 02-31
REQUEST FOR COMMENT Order Audit Trail System Action Requested By: July 10, 2002 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Market Making Operations Senior Management Trading Order Audit Trail System Executive Summary NASD is issuing this Notice to Members to solicit comments from members and other interested parties on proposed changes to the OATS
Notice to Members 00-26
INFORMATIONAL OATS Limit Order Display Indicator SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Senior Management Training Limit Order Display Order Audit Trail System (OATS) Executive Summary The purpose of this Notice is to reiterate to members one of the requirements of the National Association of Securities Dealers, Inc. (NASD®) Rules 6950
Notice to Members 98-82
SUGGESTED ROUTING Senior Management Executive Representatives Legal & Compliance Registered Representatives Systems Trading Executive Summary On September 14, 1998, the Securities and Exchange Commission (SEC) approved rule amendments that are designed to integrate transaction information reported to the Automated Confirmation Transaction ServiceSM (ACTSM)