As previously announced, the NYSE will be hosting a Broker OATS Industry Test on September 17, 2011. Specific testing details along with designated Floor Broker Firm MPIDs are contained in the attached notice and spreadsheet. If you have any questions, please contact Bob Airo at 212-656-5663.

OATS Testing Notice

Floor Broker Firm MPIDs

Before the trading day begins tomorrow, September 9, 2011, the New York Stock Exchange community will observe a one-minute moment of silence in remembrance of the NYSE and NYSE Amex members and the thousands of others who lost their lives on 9/11. The moment of silence will begin with a single stroke of the NYSE bell at 9:25 a.m.

As you may be aware, beginning in October, 2011, FINRA is expanding the OATS reporting requirements to Tape A (NYSE) and Tape B (NYSE Amex) securities for all FINRA member firms. Accordingly, all Floor Broker firms will be required to comply with this new requirement.

Beginning on October 3, 2011, FINRA will require OATS Submission for all NMS securities (see June 7, 2011, Trader Update). All qualified orders routed to the NYSE Broker Systems (NYSE Broker Booth Support System and the NYSE eBroker handheld) will be required to include the sender’s MPID on all order and cancel/replacement messages. In addition NYSE Technologies will provide an OATS file to FINRA for all order events sent to the Broker Systems. In support of this initiative, Production industry testing will be made available on Saturday, September 17, 2011.