Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change to Delete the FINRA Order Audit Trail System (OATS) Rules

Filter comments


Date Sort descending	Letter Type	Commenter Name
Nov. 16, 2020	Public Comment	Lisa C. Horrigan, Associate General Counsel, FINRA
Oct. 29, 2020	Public Comment	Lisa C. Horrigan, Associate General Counsel, Financial Industry Regulatory Authority, Inc.
Sept. 24, 2020	Public Comment	Ellen Greene, Managing Director, Equity & Options Market Structure, Securities Industry and Financial Markets Association
Sept. 22, 2020	Public Comment	Howard Meyerson, Managing Director, Financial Information Forum
Sept. 22, 2020	Public Comment	Will Leahey, Head of Regulatory Compliance, Refinitiv Wealth Management

Last Reviewed or Updated: Dec. 18, 2025

File Number

SR-FINRA-2020-024

Release Number

34-89679