FINRA Expands the Order Audit Trail System to All NMS Stocks

FINRA Regulatory Notice

FINRA issued a regulatory notice to announce that OATS order recording and reporting obligations in FINRA Rules 7410 through 7470 will, effective July 11, 2011, be applicable to all orders in NMS stocks, in addition to OTC equities. The release further announces that an updated edition of the OATS Reporting Technical Specifications will become effective on July 11.

Date

January 11, 2011

Cross References (links may require a Cabinet subscription)

FINRA RN 11-03