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L. Equity Floor Brokers

This topic includes information and reporting requirements for orders routed to and received by equity floor brokers.

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Filter by Content Type

Filter by Topic

All Topics

A. General

B. Reporting Requirements

C. Definitions

D. Order Receipt

E. Order Routing and Execution

F. Representative Orders

G. Manual Orders

H. ATS

I. Foreign Securities

J. OTC Equity Securities

K. Options

L. Equity Floor Brokers

M. Firm Designated ID

N. Third Party Reporting

O. Technical Requirements

P. Feedback and Error Correction

Q. Customer and Account Information

R. Clock Synchronization

S. Security

T. Production Readiness Testing

U. Allocations

V. CAT Billing

W. Fee Dispute Resolution

Sort by

Order

04/11/2019
FAQ
L1. How should orders sent to a Floor Broker on the New York Stock Exchange, NYSE American LLC or NYSE Arca, Inc. be reported to CAT?

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L. Equity Floor Brokers

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