Order Audit Trail System definition

Order Audit Trail System means the automated system owned and operated by FINRA that is designed to capture order information in NMS stocks reported by member organizations for integration with trade and quotation information to provide the Exchange with an accurate time sequenced record of orders and transactions.
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Order Audit Trail System means the automated system owned and operated by FINRA that is designed to capture order information in equity securities traded by IEX and reported by Members for integration with trade and quotation information to provide FINRA with an accurate time sequenced record of orders and transactions.
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Order Audit Trail System means the automated system owned and operated by the Association that is designed to capture order information in equity securities listed on the Nasdaq Stock Market reported by members for integration with trade and quotation information to provide the Association with an accurate time sequenced record of orders and transactions.
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Examples of Order Audit Trail System in a sentence

  • Figure 1-1 provides an overview of the Order Audit Trail System reporting process.

  • FINRA Rule 7460- Violation of Order Audit Trail System RulesFailure to comply with the OATS Rules may be considered conduct that is inconsistent with high standards of commercial honor and just and equitable principles of trade, in violation of Rule 2010.

  • The Order Audit Trail System (OATS) is part of an integrated audit trail of order, quote, and trade information for all NMS stocks and OTC equity securities (“OATS reportable securities”).

  • At Class I, II, III, and IV facilities, with approval of the Commissioner any other low permeability layer construction techniques or materials may be used to provide the final cover, provided that it provides equivalent or superior performance to the requirements of this part.

  • The first prong requires that reporting to the Order Audit Trail System (“OATS”) is no longer required for new orders.

  • The Settlement Agreement requires the City, RDA, and Port to prepare a Natural Resources Management Plan (NRMP) meant to restore and protect wildlife habitat adjacent to areas of National Wildlife Refuge lands in South San Diego Bay.

  • This definition is based on FINRA’s definition of a ‘‘Reporting Agent’’ as set forth in FINRA’s rule related to its Order Audit Trail System (‘‘OATS’’).

  • Securities Exchange Act Release No. 92239 (June 23, 2021), 86 FR 34293 (June 29, 2021) (SR-FINRA-2021-017) (Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Retirement of FINRA’s Order Audit Trail System).

  • NASD Rule 6956- Violation of Order Audit Trail System RulesFailure to comply with the OATS Rules may be considered conduct that is inconsistent with high standards of commercial honor and just and equitable principles of trade, in violation of Rule 2110.

  • FINRA is proposing to amend FINRA Rule 7410 to permit members to route orders to two Reporting Members for a defined period of time provided certain conditions are met without losing the exception from the definition of ‘‘Reporting Member’’ in the Order Audit Trail System (‘‘OATS’’) rules.Below is the text of the proposed rule change.


More Definitions of Order Audit Trail System

Order Audit Trail System means the automated system owned and operated by FINRA that is designed to capture order information in equity securities listed on The Nasdaq Stock
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Order Audit Trail System means the automated system owned and operated by the Association that is designed to capture order information reported by members for integration with trade [information reported to the Nasdaq Market Center]
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Order Audit Trail System means the automated system owned and operated by FINRA that is designed to capture order information in equity
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Related to Order Audit Trail System

  • Audit trail means a documented history of a financial transaction by which the transaction can be traced to its source.

  • Construction Phase Services means the coordination, implementation and execution of the Work required by this Agreement, which are further defined in Article 8.

  • Monitoring System means a system established by BNY to fulfill the Responsibilities specified in clauses (d) and (e) of Section 1 of Article III of this Agreement.

  • Single tomogram system means a CT x-ray system which obtains x-ray transmission data during a scan to produce a single tomogram.

  • Beam monitoring system means a system designed and installed in the radiation head to detect and measure the radiation present in the useful beam.

  • Busy Line Verification (BLV means a service whereby an End User requests an operator to confirm the busy status of a line.

  • Fluoroscopic imaging assembly means a subsystem in which X-ray photons produce a visual image. It includes the image receptor(s) such as the image intensifier and spot-film device, electrical interlocks, if any, and structural material providing linkage between the image receptor and diagnostic source assembly.

  • Fuel system means the components which store or transport fuel on board the vehicle and comprise the fuel tank system, all fuel and vapour lines, any non-tank mounted fuel pumps and the activated carbon canister.

  • Busy Line Verification (BLV) means a service whereby an End User requests an operator to confirm the busy status of a line.

  • Safety Management System has the meaning given to it in the ISM Code.

  • Network Availability means the capability of the equipment to resume functions after a remotely initiated trigger has been detected by a network port;

  • Inventory control system means a system described in Section 4-41a-103.

  • Maintenance Test means the maintenance test set out in Clause 12.1 (Maintenance Test).

  • Vapor control system means a system that prevents release to the atmosphere of gasoline vapors in excess of 80 milligrams per liter of gasoline loaded (4.7 grains per liter).

  • Basic Comprehensive User Guide means the Ministry document titled Basic Comprehensive Certificates of Approval (Air) User Guide” dated April 2004 as amended.

  • Quality Management System means a set of interrelated or interacting elements that organisations use to direct and control how quality policies are implemented and quality objectives are achieved;

  • Utilization review means the prospective (prior to), concurrent (during) or retrospective (after) review of any service to determine whether such service was properly authorized, constitutes a medically necessary service for purposes of benefit payment, and is a covered healthcare service under this plan. WE, US, and OUR means Blue Cross & Blue Shield of Rhode Island. WE, US, or OUR will have the same meaning whether italicized or not. YOU and YOUR means the subscriber or member enrolled for coverage under this agreement. YOU and YOUR will have the same meaning whether italicized or not.

  • Control system means the combination of capture and control devices used to reduce emissions to the atmosphere.

  • Database Management System (DBMS) A system of manual procedures and computer programs used to create, store and update the data required to provide Selective Routing and/or Automatic Location Identification for 911 systems. Day: A calendar day unless otherwise specified. Dedicated Transport: UNE transmission path between one of CenturyLink’s Wire Centers or switches and another of CenturyLink’s Wire Centers or switches within the same LATA and State that are dedicated to a particular customer or carrier. Default: A Party’s violation of any material term or condition of the Agreement, or refusal or failure in any material respect to properly perform its obligations under this Agreement, including the failure to make any undisputed payment when due. A Party shall also be deemed in Default upon such Party’s insolvency or the initiation of bankruptcy or receivership proceedings by or against the Party or the failure to obtain or maintain any certification(s) or authorization(s) from the Commission which are necessary or appropriate for a Party to exchange traffic or order any service, facility or arrangement under this Agreement, or notice from the Party that it has ceased doing business in this State or receipt of publicly available information that signifies the Party is no longer doing business in this State.

  • Fraud Monitoring System means an off-line administration system that monitors suspected occurrences of ABT- related fraud.

  • State Level Monitoring Cell means the body constituted by the State Government for the control and elimination of ragging in institutions within the jurisdiction of the State, established under a State Law or on the advice of the Central Government, as the case may be.

  • Digital audio-visual work means a series of related images which, when shown in succession, imparts an impression of motion, together with accompanying sounds, if any.

  • Automated data acquisition and handling system or "DAHS" means that component of the continuous emission monitoring system, or other emissions monitoring system approved for use under section 11 of this rule, designed to interpret and convert individual output signals from pollutant concentration monitors, flow monitors, diluent gas monitors, and other component parts of the monitoring system to produce a continuous record of the measured parameters in the measurement units required by section 11 of this rule.

  • Operational Acceptance Tests means the tests specified in the Technical Requirements and Agreed Project Plan to be carried out to ascertain whether the System, or a specified Sub system, is able to attain the functional and performance requirements specified in the Technical Requirements and Agreed Project Plan, in accordance with the provisions of GCC Clause 27.2 (Operational Acceptance Test).

  • Certified cabinet x-ray system means an x-ray system that has been certified in accordance with 21 CFR 1010.2 as being manufactured and assembled pursuant to the provisions of 21 CFR 1020.40.

  • Interconnection Feasibility Study means either a Generation Interconnection Feasibility Study or Transmission Interconnection Feasibility Study.