OATS Rules definition

OATS Rules means the “Rules, Terms and Conditions for the Provision
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Examples of OATS Rules in a sentence

  • Correspondent shall promptly report to Clearing Broker all necessary information required by the Applicable Rules respecting orders in NASDAQ Securities which the Correspondent intends to submit to Clearing Broker for execution so as to facilitate the reporting of such transactions by Clearing Broker in conformity with the OATS Rules and all other Applicable Rules.

  • No. Indications of interest and negotiations are not considered reportable events under the OATS Rules.

  • Subscriber shall be solely responsible for ensuring its compliance with OATS Rules, further described in Section 6(d)(iii) and Schedule C-2.

  • However, a firm that uses handwritten timestamps must be confident that it is complying with the OATS Rules and all other FINRA rules or By-Laws.

  • Both OATS Rules and SEC rules allow firms to store records in manual or electronic forms, such as microfiche, paper, and computer disk.

  • Do the OATS Rules allow us to continue to write the time on order tickets or are we required to purchase mechanical time clocks?Under the OATS Rules you may continue to use handwritten timestamps.

  • Subscriber is aware that no contractual arrangement, no matter how comprehensive, will relieve a member of its responsibilities under the OATS Rules, and Provider shall have no liability for any damages that Subscriber may incur in connection with the transmission or failure to transmit OATS data under this Agreement, other than with respect to any actions involving the gross negligence, fraud or willful misconduct on the part of Provider.

  • No contractual arrangement, no matter how comprehensive, will relieve a member of its responsibilities under the OATS Rules.

  • In general, business can proceed as usual; for example, the OATS Rules do not change the amount of time allowed to write a customer order ticket or perform order processing.

  • FINRA is aware of several companies that have developed software that will allow you to create and transmit OATS reports that are compliant with the requirements in the OATS Rules and in the OATS Reporting Technical Specifications.

Related to OATS Rules

  • CCASS Rules means the General Rules of CCASS and the CCASS Operational Procedures in effect from time to time;

  • PPB Rules means the rules of the Procurement Policy Board as set forth in Title 9 of the Rules of the City of New York (“RCNY”), § 1-01 et seq.

  • SIFT Rules means the provisions of the Income Tax Act providing for a tax on certain income earned by a “SIFT trust” or “SIFT partnership” as those terms are defined in the Income Tax Act.

  • FCA Rules means the Rules included within the FCA Handbook issued by the FCA.

  • Business Rules means the rules for day to day use of Interconnector Capacity in Schedule 4;