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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
View past OATS Reporting Technical Specifications. These pages are listed in reverse chronological order by release date.
FINRA currently supports three methods for the reporting of transactions to its TRACE and Over-The -Counter Reporting (ORF) products – FIX, Computer-to-Computer Interface (CTCI) and TRAQS. Subject to SEC approval, beginning in early first quarter 2020, FINRA would no longer support the CTCI protocol (CTCI/TCP; CTCI/MQ) for both TRACE and ORF transaction reporting. Any client, including Service
Guidance to Members Affected by Hurricane Harvey
FINRA Expands the Order Audit Trail System to All NMS Stocks
As announced in Regulatory Notice 21-02, FINRA is modifying the convention for rounding the original Loan-To-Value ratio used in the dissemination of transactions in agency pass-through mortgage-backed securities and Small Business Administration (SBA)-backed asset-backed securities traded in specified pool transactions. This change will become effective on Monday, May 17, 2021. On that day, the
GUIDANCE
OATS Reporting Requirements
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
OATS
Rules 6950–6958Rule 9610(a)
Executive Summary
In November 2005, NASD issued Notice to Members (NTM) 05-78 announcing Securities and Exchange Commission
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 69506957
Executive Summary
On September 28, 2005, the Securities and Exchange Commission
(SEC) approved amendments to Rules 6950 through 6957 (OATS
Rules)
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
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 (Combined Reports) for