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Configuring OATS Settings for Client Accounts

The Financial Industry Regulatory Authority (FINRA) established the Order Audit Trail System (OATS), which is an integrated audit trail of order, quote and trade information for Nasdaq securities. Broker masters are required to supervise the OATS settings of their client accounts. You configure the following OATS settings for your client accounts:

• Override the Master Default Settings for institutional accounts.
• Respond to flashing red alerts for pending client accounts.
• Modify OATS permissions for a specific client account.

You configure your clients’ OATS settings on the Reports > Settings > Client OATS Settings page in Account Management.

For more information

• For more details, see the Client Oats Settings topic in the Account Management Users Guide.