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SEC Approves OATS Amendments to Require Identification of Non-FINRA Member Broker-Dealers

August 1, 2016

Beginning August 1, 2016, firms that report information to OATS will be required to include on their reports the identity of U.S.-registered broker-dealers that are not FINRA members and broker-dealers that are not registered in the U.S. but have received an SRO-assigned identifier. The identities may be reported using either the broker-dealer’s Central Registration Depository (CRD®) number or an SRO-assigned identifier. FINRA will provide a list of all acceptable CRD numbers for firms to use to facilitate compliance with the new requirements.

View the full regulatory notice here.


August 1, 2016
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