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  1. Rules & Guidance
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FINRA Main Navigation

Rules & Guidance

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Guidance
  • 2017 Exam Findings Report
    Order Capacity
    December 06, 2017
  • Notice
    Regulatory Notice 07-39
    August 30, 2007
  • Guidance
    Additional Guidance Regarding the OATS Routing Method Code of I and Special Handling Code of ISO
    July 12, 2007
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    OATS for all NMS Stocks FAQ
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    Frequently Asked Questions (FAQ) regarding the Order Audit Trail System (OATS)
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    OATS Compliance Monthly Report Card
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    FAQ regarding Order Audit Trail System (OATS) Compliance
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    Frequently Asked Questions about OATS Phase III
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ARBITRATION & MEDIATION

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