FINRA Rule 4554 states that if for any reason an ATS uses a NBBO source other than the one that was reported on its ATS OATS data submission, the ATS must notify FINRA via e-mail that an alternative source was used to obtain the NBBO
On September 12, 2016, FINRA added a new ATS Order Type Entry Screen to the OATS Administration Section of the OATS Web Interface.
SEC Approves Rule Change to Reduce the Clock Synchronization Tolerance for Computer Clocks Used To Record Events in NMS Securities and OTC Equity Securities
FINRA’s legacy file transfer service (filetransfer.finra.org) will be shut down on 7/1/2020. By now, all FINRA applications file transfers that were using the legacy service should have migrated to fileX file transfer service. Details about fileX service and user guide can be found on https://www.finra.org/filing-reporting/data-transfer-tools/fileX.
Please contact FINRA Support Center at (800)
SEC Approves OATS Amendments to Require Identification of Non-FINRA Member Broker-Dealers
Pending SEC approval, Investors' Exchange LLC will be operating as the stock exchange, Investors Exchange.
FINRA is issuing this OATS Report to describe the new reverse linkage process and feedback for instances where OATS was unable to find the related Route Report or Execution Report for an OATS new order event, exchange order, or TRF/ADF/ORF trade report.
On June 30th of this year, a leap second will be added after 23:59:59 GMT.
FINRA requires firms to report short interest positions in all customer and proprietary accounts in all equity securities twice a month. All short interest positions must be reported by 6 p.m. Eastern Time on the second business day after the reporting settlement date designated by FINRA.See the schedule of reporting dates below.2024 Short Interest Reporting
SEC Approves Amendments Regarding OATS Routing Method Code for Intermarket Sweep Orders
