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FINRA Proposes Amendments Regarding Exemptions from OATS Recording and Reporting Requirements

FINRA filed with the SEC a proposed rule change to amend FINRA Rule 7470 to extend for four years FINRA's ability to exempt certain members from the recording and reporting requirements of the Order Audit Trail System ("OATS") Rules for manual orders received by the member.

See: Text of Proposed Rule Change; FINRA Filing.

Tags

Regulated Activities
Trade Reporting
Sub-Activity
OATS
Regulated Entities
Broker-Dealers
Regulated Products
Equities
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
FINRA / MSRB / SEC Exchanges / SIPC / Accountants
Sub-Author
FINRA