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
FINRA Small Firm Advisory Board Election
ACTION REQUIREDAmendments to Section 5 of Schedule A to the NASD By-Laws SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementFeesNASD By-LawsSimultaneous Filing Group (SFG)Executive SummaryThe Securities and Exchange Commission (SEC) has announced the immediate effectiveness of amendments to Section 5 of Schedule A to the NASD By-Laws (Section 5) to (1)
SUGGESTED ROUTING:*
Senior ManagementInternal AuditOperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
On June 30, 1988, the maximum Small Order Execution System (SOES) order size for all Nasdaq National Market System (Nasdaq/NMS) securities was established as follows:
A 1,000-share maximum order size was applied to those Nasdaq/NMS
INFORMATIONAL
Decimalization
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Options
Registered Representatives
Senior Management
Technology
Trading & Market Making
Decimalization
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) and the exchanges recently submitted a decimalization plan to the Securities and
INFORMATIONAL
Dispute Resolution
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Arbitration/Mediation
Dispute Resolution Regional Offices
Executive Summary
On March 4, 2002, the NASD Dispute Resolution, Inc. (NASD DR) Western Region will consolidate its San Francisco and Los Angeles Regional Offices into one Regional Office in Los
SUGGESTED ROUTING*
Senior Management
Internal Audit
Operations
Trading
*These are suggested departments only. Others may be appropriate for your firm.
On June 30, 1988, the maximum SOES order size for all NASDAQ National Market securities was established as follows:
A 1,000-share
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration Department
Senior Management
Foreign Deferrals of the Regulatory Element
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) is amending its policy of granting foreign deferrals of the Continuing Education Regulatory Element requirement
Executive Summary
FINRA recently held annual elections to fill vacancies on its Regional Committees, Small Firm Advisory Committee (SFAC), and the National Adjudicatory Council (NAC). Additionally, at its December meeting, the FINRA Board of Governors (FINRA Board) also selected individuals to fill several appointed seats on the SFAC and NAC. This Notice lists the individuals recently elected
