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Order Audit Trail System (OATS) (www.investopedia.com)

submitted 10 months ago by [email protected] to c/[email protected]

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The order audit trail system (OATS) is a computerized regulatory mechanism that maintains detailed records of securities transactions. OATS requires member firms of FINRA to automatically record and report orders to FINRA.1 OATS was established so that orders could be more easily tracked and reviewed if necessary; for instance, in the case of a trading error or suspected market manipulation. Individual traders and investors are not required to provide OATS data to FINRA. This is the job of the broker or member firm handling client orders. https://www.investopedia.com/terms/o/order_audit_trail_system.asp

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[–] [email protected] 4 points 10 months ago

Records kept for 3 years? Hmm what's coming up to 3 years 🤔