Creating the OSO Relationship and NASD OATS Website

The NASD requires Members to report certain Order Events to the Order Audit Trail System (OATS) on a daily basis.  If a NASD Member is required to report OATS events, Sutton Consulting Group, Inc. can help the Member meet its obligations by acting as an Oats Sending Organization (OSO).

In order to designate Sutton Consulting Group, Inc. as the OSO for your organization the following items must be completed:

1) Sign Sutton Consulting Group, Inc.'s Oats Reporting Agent Agreement.  The Member Firm and Sutton Consulting Group, Inc. must keep a copy of the agreement in their files.

Download the agreement in PDF format here

2) The Member Firm must have access to the NASD OATS System. To gain access to the NASD OATS System the instructions on NASD OATS Registration page must be followed. http://www.nasd.com/web/idcplg?IdcService=SS_GET_PAGE&nodeId=377

3) Once the Member Firm has access to the NASD OATS System, the Member firm should add Sutton Consulting Group (OSO ID: 9654) as a Reporting and Transmitting OSO.  Please make sure that the relationship is set to never expire.