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.
All FINRA, NASDAQ, and NASDAQ BX members that meet the definition of a Reporting Member pursuant to FINRA Rule 7410 and receive and/or handle orders for OATS reportablesecurities must register for the Order Audit Trail System (OATS).
Small Firm Resources for OATS
Following are "Frequently Asked Questions" regarding the Order Audit Trail System (OATS).
Beginning Monday, August 20, 2018, FINRA will require a change to all FIX trade reporting related to the processing of execution time during Daylight Savings Time (DST) changes. This update affects firms’ transaction reports for all FINRA Multi Product Platform products (MPP), including TRACE, the OTC Trade Reporting Facility (ORF), and The Alternative Display Facility (ADF).
Currently, Tag 60 (
Posted: March 26, 2020
The latest edition of the OATS Reporting Technical Specifications dated March 26, 2020 is now available.
This edition includes updates related to the onboarding of the Long-Term Stock Exchange. The changes will be effective in the OATS Certificate Test Environment on April 24, 2020 and in the OATS Production Environment on May 15, 2020.
In addition, FINRA’s Guidance on
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Fellows Provide Military Service Members and Their Families with Financial Counseling and Education Services While Earning Professional AFC® Credential
WASHINGTON — Starting today, the FINRA Investor Education Foundation Military Spouse Fellowship is accepting applications for its 2018 class of financial Fellows — a unique program designed to increase the financial capability of U.S. service
