SEC Approves Amendments to OATS Rules (Fed. Reg.)
The SEC approved a FINRA proposal to amend FINRA Rules 7410 and 7440. The amendments require FINRA members who are subject to the Order Audit Trail System ("OATS") rules to identify the non-FINRA-member broker-dealers from whom they receive orders, or to whom they route them, on the OATS report for such orders.
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A FINRA proposal to amend rules requiring FINRA members to identify broker-dealers who are not themselves FINRA members, but who send orders to reporting FINRA members, was published in the Federal Register.
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FINRA proposed amendments to Rules 7410 and 7440 that would require FINRA members to identify broker-dealers that are not themselves FINRA members, but that send orders to reporting FINRA members.
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- SR-FINRA-2020-024: Proposed Rule Change to Delete the FINRA Order Audit Trail System (OATS) Rules
- FINRA Effective Date: SROs; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 To Delete the FINRA Order Audit...(2020-12-04)
- FINRA Comment Deadline: SROs; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 To Delete the FINRA Order Aud...(2020-12-28)
- 85 FR 78395 - SROs; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 To Delete the FINRA Order Audit Trail System (OATS)
- 85 FR 54461 - SROs; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Delete the FINRA Order Audit Trail System (OATS) Rules
- 85 FR 65113 - SROs; Financial Industry Regulatory Authority, Inc.; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Delete the FINRA Order Audit Trail System (OATS) Rules
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