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SEC Approves Amendments to Equity Trade Reporting and OATS Rules

Regulatory Notice 14-21 SEC Approves Amendments to Equity Trade Reporting and OATS Rules Effective Dates: OATS: April 7, 2014; ORF: September 15, 2014; ADF and TRFs: (millisecond reporting): September 29, 2014; ADF and TRFs (remaining amendments): First Quarter 2015   Executive Summary The Securities and Exchange Commission (SEC) has approved amendments to FINRA rules governing … Continue reading SEC Approves Amendments to Equity Trade Reporting and OATS Rules →

SEC Approves Amendments to Equity Trade Reporting and OATS Rules

Regulatory Notice 14-21 Effective Dates: OATS: April 7, 2014; ORF: September 15, 2014; ADF and TRFs: (millisecond reporting): September 29, 2014; ADF and TRFs (remaining amendments): First Quarter 2015 Executive Summary The Securities and Exchange Commission (SEC) has approved amendments to FINRA rules governing the reporting of (i) over-the-counter (OTC) transactions in equity securities to … Continue reading SEC Approves Amendments to Equity Trade Reporting and OATS Rules →

SEC Approves OATS Amendments to Require Identification of Non-FINRA Member Broker-Dealers

Beginning August 1, 2016, firms that report information to OATS will be required to include on their reports the identity of U.S.-registered broker-dealers that are not FINRA members and broker-dealers that are not registered in the U.S. but have received an SRO-assigned identifier. The identities may be reported using either the broker-dealer’s Central Registration Depository … Continue reading SEC Approves OATS Amendments to Require Identification of Non-FINRA Member Broker-Dealers →

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