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Notice to Members NOVEMBER 2004 REQUEST FOR COMMENT SUGGESTED ROUTING Order Audit Trail System (OATS) Internal Audit Legal & Compliance Operations NASA Seeks Comment on Proposed Changes to the OATS

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What is order audit trail system?

The order audit trail system is a digital system that tracks and records the details of each order executed by a trading firm or financial institution.

Who is required to file order audit trail system?

Trading firms and financial institutions are required to file the order audit trail system.

How to fill out order audit trail system?

The order audit trail system can be filled out by inputting the necessary order details into the digital system provided.

What is the purpose of order audit trail system?

The purpose of the order audit trail system is to provide a transparent and traceable record of all order executions, ensuring compliance with regulatory requirements and facilitating post-trade analysis.

What information must be reported on order audit trail system?

The order audit trail system generally requires reporting of order details such as the date and time of execution, identification of the trading parties, quantity and type of securities traded, and any additional relevant information specified by regulatory authorities.

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