February 12, 2002The next OATS Release is currently scheduled to go into production on Monday, April 8, 2002. The only coding change required is the addition of a Bunched Order Indicator field to the New Order, Cancel/Replace, and Combined Order/Execution Reports. This field will be used to show that an order was bunched upon receipt of the order.Other changes include:
The Account Type Code
August 28, 2002
NASD plans to implement its next regular quarterly release for the third quarter of 2002 (2002.3) into the testing environment on September 30, 2002 and into the production environment on October 14, 2002. This release contains a variety of changes, some requiring coding by members and some that enhance functionality.
The 2002.3 release includes the following enhancements that
Proposed Rule Change to Amend Rule 7730 to Establish Fees for the New TRACE Security Activity Report and End-of-Day TRACE Transaction File
October 24, 2002
NASD plans to implement its next regular quarterly release for the fourth quarter of 2002 (2002.4) into the testing environment on December 2, 2002 and into the production environment on December 16, 2002. This release contains one enhancement that may require changes to firms' system codes.
Originating MPID
NASD is adding a field called "Originating MPID" to
The purpose of unclaimed property laws is to protect consumers by ensuring money owed to them can be returned to them or any heirs. But those same laws can cause headaches for consumers who don't stay on top of their accounts.
On September 28, 2005, the SEC approved rule filing SR-NASD-00-23 relating to the OATS rules.
The Subscriber Manual is a companion document to the OATS Reporting Technical Specifications.
FINRA Updates Designation Criteria to Require Firms Reporting U.S. Treasury Securities to TRACE to Participate in FINRA’s Business Continuity/Disaster Recovery Testing
The OATS Reporting Technical Specifications document covers the requirements and procedures for clock synchronization; system access requirements for supplying OATS files to FINRA
FINRA publishes information about the Order Audit Trail System (OATS) on a regular basis via an online newsletter titled The OATS Report.
