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Dealing with OATS Phase III: It will change the process and culture of trading

Traders Magazine, August 2006

Deborah Mittelman

Phase three of the NASD's Order Audit Trail System (OATS) was scheduled to go into effect on July 10. OATS applies to all orders for Nasdaq securities received or originated by an OATS reporting member, whether the order is received electronically or manually. For firms, their primary focus will be on implementing the right technology and

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