Just a Reminder: TradingScreen Order Audit Trail System Reporting
In case you didn’t know, TradingScreen helps broker-dealers using our sell-side OMS and EMS to stay compliant with FINRA’s Order Audit Trail System (OATSTM). Reports are automatically uploaded to FINRA’s site where their status can be viewed. TradingScreen will also keep an archive of customers' files for auditing purposes. It’s all part of TradingScreen’s effort to simplify global markets for all investment participants.
Click on the link above to learn more about OATS, or contact us for more information on our reporting solution.
TradingScreen – Simplifying Global Markets.