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Wednesday, March 11, 2015 12:39:58 PM
yet to be registered. Last RIGH registration was 2010.
http://www.otcmarkets.com/stock/RIGH/filings
OATS for OTC Frequently Asked Questions
Reportable Securities
http://www.finra.org/Industry/Compliance/MarketTransparency/OATS/OTCEquitySecurities/p036827
1. When the amendments expanding the OATS Rules to include OTC equity securities become effective on February 4, 2008, what securities will be reportable?
On February 4, 2008, all OTC domestic equity securities and certain transactions in foreign equity securities become reportable to OATS. OTC equity securities are defined as: 1) securities not listed on a national securities exchange; and 2) securities listed on one or more regional exchanges but do not qualify for dissemination of transaction reports to the Consolidated Tape. This definition includes: OTCBB securities, Pink Sheet securities, and preferred securities. Orders in foreign equity securities resulting in an execution that is subject to the transaction reporting requirements of NASD Rule 6620 also must be reported to OATS.
SR-FINRA-2010-044
Proposed Rule Change Relating to the Expansion of the Order Audit Trail System to All NMS Stocks
https://www.finra.org/Industry/Regulation/RuleFilings/2010/P121896
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 7410 to extend the recording and reporting requirements in FINRA’s Order Audit Trail System (“OATS”) Rules to include all NMS stocks and to exclude certain FINRA members from the definition of “Reporting Member.” The proposed rule change also amends FINRA Rule 7470 to conform the OATS exemptive provision to the expansion of the OATS requirements to all NMS stocks.
Text of Proposed Rule Change (PDF 1428 KB)
Federal Register Notice (PDF 58 KB)
Extension No. 1 (PDF 27 KB)
Extension No. 2 (PDF 27 KB)
Response to Comments (PDF 873 KB)
Extension No. 3 (PDF 27 KB)
Approval Order (PDF 69 KB)
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