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03/12/2020
FAQ
| S. Security
S7.
How does the CAT protect social security numbers?
03/12/2020
FAQ
| S. Security
S4.
What is the CAT?
03/12/2020
FAQ
| S. Security
S11.
What happens if there is unauthorized access to CAT Data?
03/12/2020
FAQ
| S. Security
S8.
Who has access to CAT Data?
03/12/2020
FAQ
| S. Security
S5.
What type of information is in the CAT?
03/12/2020
FAQ
| S. Security
S9.
How can CAT Data be used?
03/12/2020
FAQ
| S. Security
S6.
What is Customer Account Information and Customer Identifying Information?
03/12/2020
FAQ
| K. Options
K13.
If an Industry Member manually initiates a proprietary order and simultaneously enters the order into an OMS/EMS, is this considered a manual event or an electronic event?
03/12/2020
FAQ
| M. Firm Designated ID
M15.
What should be reported as the Firm Designated ID (“FDID”) when an employee of the Industry Member is exercising discretion over multiple client accounts and creates an aggregated order for which a trading account number of the Industry Member is not available at the time of order origination?
03/11/2020
Event
Weekly Industry Testing Checkpoint Call (3/10/2020)
03/09/2020
Basic page
Clock Synchronization
03/05/2020
Event
Industry Webinar - Production Readiness Testing (3/4/2020)
03/04/2020
Event
Weekly Industry Testing Checkpoint Call (3/3/2020)
02/27/2020
Governance
New Proposed CAT NMS Plan Amendment related to FDID
02/27/2020
Event
Weekly Industry Testing Checkpoint Call and CAT Reporter Portal Demo (2/25/2020)
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