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How do I report to OATS changes to orders due to dividends and distributions?

April 26, 2017changes distributions dividends oats orders report

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How do I report to OATS changes to orders due to dividends and distributions?

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Modifications made to order quantity due to dividends and distributions are not required to be reported to OATS; however, if an order is canceled as a result of a dividend or distribution, you must report the cancellation to OATS via a Cancel Report. (Last updated 09/08/98) T38. Am I required to certify before I can transmit order information to OATS? Yes. All OSOs that are not currently transmitting data to OATS must test their systems in the OATS Test environment. OSOs that have not successfully tested in the OATS test environment will not be allowed to submit data to the production environment. For a copy of the OATS Testing Guidelines and approval criteria for the production environment contact FINRA Business and Technology Support Services .