Effective November 28, 2011, all NMS stocks will be OATS eligible.
- Member Organizations that route orders to the NYSE Broker Systems must populate their firm’s Market Participant Identifier (“MPID”) as prescribed in the Common Customer Gateway informational memo dated June 7, 2011 (linked below)
- Member Organizations should continue to maintain compliance with Exchange OTS requirements until an NMS security has been phased into the OATS requirements according to FINRA’s schedule as noted in NYSE Regulation informational memo dated October 12, 2011 (linked below)
General questions regarding this Trader Alert should be address to Bob Airo (rairo@nyx.com 212-656-5663). Questions regarding Floor Broker OATS should be directed to Michael Rutigliano (mrutigliano@nyx.com 212-656-4679).
Category: Operations
