Oats...

D

dgmodel

Guest
what are OATS regulations???



Allegations: NASD CONDUCT RULES2110 AND 3010 - RESPONDENT MEMBER FAILED TO SUBMIT REQURIED INFORMATION TO OATS ON
15 BUSINESS DAYS. THE MEMBER FIRMS SUPERVISORY SYSTEM DID NOT
PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE
COMPLIANCE WITH RESPECT TO THE APPLICABLE SECURITIES LAWS AND
REGULATIONS CONCERNING OATS.
 
if only I actually retained the information learned...errrrrrr...memorized for the 55. Someone should be able to help you though.
 
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