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What is the deadline for OATS reporting?

April 26, 2017Deadline oats

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What is the deadline for OATS reporting?

2 Answers

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Events that occur during a particular OATS Business Day must be reported by 5:00:00 a.m., Eastern Time (ET) the following calendar day or they are marked late by FINRA. For example, an order received at 2:00:00 p.m., ET on Thursday must be reported to OATS by Friday at 5:00:00 a.m., ET or be marked late by FINRA, and an order received at 10:00:00 p.m., ET on Friday must be reported by Tuesday at 5:00:00 a.m., ET or be marked late by FINRA. Corrections or deletions must be reported within five days of the original submission (except for the New Order Reports with a Time in Force Code of GTD or GTC; corrections and deletions for these reports must be reported within one year.

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Events that occur during a particular OATS Business Day must be reported by 5:00:00 a.m., Eastern Time (ET) the following calendar day or they are marked late by FINRA. For example, an order received at 2:00:00 p.m., ET on Thursday must be reported to OATS by Friday at 5:00:00 a.m., ET or be marked late by FINRA, and an order received at 10:00:00 p.m., ET on Friday must be reported by Tuesday at 5:00:00 a.m., ET or be marked late by FINRA.