OATS Reporting

Full-service OATS Compliance Solutions

PHD Trading Technologies has provided OATS related services to some of the most active traders in the market. We have been in the business of providing OATS services to broker-dealers for over a decade. Our work with world class trading/order management systems all the way through to the settlement/clearing processes has made us familiar with every step along the chain. With all this experience, add our deep knowledge of the nuances of OATS compliance and regulations and this allows us to provide our clients with a full-service OATS/CAT compliance solution.

  • Added Benefits of a PHD Solution

  • *Business Process Exploration

  • *Technology implementation

  • *Post-implementation monitoring and support. (Proactive monitoring of  OATS submissions on a daily basis, working with customers and their  vendors to resolve breaks, and reduce operating costs.)

  • Our experience with High Frequency firms has made us familiar with the unique requirements of this space (large volumes, multiple data interfaces and exchange networks). This experience helps us make complicated reporting requirements simple and straight forward. Give us a call and let us simplify for you.

PHD’s makes OATS/CAT Reporting quick and affordable to implement

TRY OUR CAT / OATS CALCULATOR BELOW

 

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CAT / OATS Calculator

 

CAT Price Calculator
Reporting Category *
Total Messages *
Asset Classes *

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* The calculations above are just an estimate and represent our best guess based on preliminary information gathered. Contact PHD Trading Technologies for a more complete, final estimate.

Access our full range of OATS compliance solutions:

 

  • REPORTING FOR DULY LISTED SECURITIES
    As a part of our OATS Reporting solutions, we offer report creation and formatting for duly listed securities. PHDTT identifies which transactions are report-able based on FINRA’s daily list of duly-listed securities, applies the appropriate currency conversion to report transactions in U.S. dollars and can submit them to FINRA on the client’s behalf (or automated FTP to the owner in sponsored access situations).
  • DATA RETENTION: REDUNDANT INFRASTRUCTURE
    We store a minimum of seven years of reported data, with ready access to the data.
  • HIGH-SPEED OATS GENERATOR
    Our OATS Generator is able to take in standard and custom formatted data and has the ability to detect erroneous data, to exclude it prior to submission and to apply corrective actions at a macro level in the case of a re-submission.
  • BROKER/PLATFORM-NEUTRAL CONSOLIDATOR
    Broker-neutral solutions provide an accurate OATS reporting process for broker-dealers using multiple trading systems.