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U. Allocations
This topic includes information related to Allocation events.
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10/20/2020
Event
CAT Technical Specification Working Group Q&A - 10/20/20
CAT Technical Specification Working Group Q&A - 10/20/20
Audio file
Topics
B. Reporting Requirements
U. Allocations
10/07/2020
FAQ
U2.
What is an Allocation Report and who is required to report it?
Topics
U. Allocations
09/23/2020
Event
Phase 2c Industry Webinar (9/23/20)
Phase 2c Industry Webinar (9/23/20)- Presentation
Audio file
Topics
B. Reporting Requirements
U. Allocations
09/22/2020
FAQ
U20.
When converting the price of a non-US dollar currency for the purpose of reporting a CAT Allocation event, is it acceptable to use the end of day conversion rate?
Topics
U. Allocations
09/17/2020
Event
Monthly CAT Implementation Update (9/17/20)
Monthly CAT Implementation Update (9/17/20)- Presentation
Audio file
Topics
A. General
B. Reporting Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
U. Allocations
08/27/2020
FAQ
U15.
Are Allocation Reports required to be reported for both purchases and sales?
Topics
U. Allocations
08/27/2020
FAQ
U13.
Which Industry Member has the responsibility for allocation reporting in a piggyback clearing scenario?
Topics
U. Allocations
07/17/2020
FAQ
U7.
Can a fully disclosed introducing broker-dealer and its clearing firm use the same firmDesignatedID (FDID) for New Order events (MENO)/New Option Order events (MONO) and Post-Trade Allocation event (MEPA)/Option Post-Trade Allocation event (MOPA)?
Topics
U. Allocations
07/17/2020
FAQ
U12.
In a scenario where Firm A has an omnibus clearing relationship with Firm B, which Industry Member has the responsibility for allocation reporting?
Topics
U. Allocations
07/17/2020
FAQ
U6.
Are allocations to DVP accounts required to be reported? For example, an institution places an order with an executing broker-dealer and gives instructions to DVP the shares to two different custodial broker-dealers.
Topics
U. Allocations
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