Archive of OATS information
The Securities and Exchange Commission (SEC) recently issued an investor alert listing some of the risks associated with using credit cards to buy investments or to fund an investment account.
The OATS Web Interface is intended for all Order Sending Organizations (OSOs) — including member firms and third parties acting on behalf of member firms.
These report cards assist NYSE-reporting firms in monitoring compliance with NYSE Rule 123(e) and (f), which requires NYSE-reporting firms—immediately after receiving an order on the floor—to submit the order information to the FESC database before the orders are represented on the floor.
On March 18, 2013, FINRA will be upgrading Secure Transport in the Production (PD) environment from the current version of 4.9 to version 5.1. These changes will be available in the Certificate Test (CT) environment on February 19, 2013.
A member firm may include pre-inception index performance data in institutional communications concerning registered open-end investment companies, subject to the stated conditions discussed in the letter.
December
Total Trades
Total Par Value (000s)
Average
Daily Trades
Average Daily
Par Value (000s)
CORP
1,256,831
559,829,535
59,849
26,658,549
CONV
26,011
22,214,350
1,239
1,057,826
CHRC
1,337
25,015
64
1,191
ELN
15,226
1,893,991
725
90,190
AGCY
40,445
85,
OATS Expansion to all NMS Stocks Road Shows.
Notice of Annual Meeting of FINRA Firms and Proxy
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
