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U. Allocations
This topic includes information related to Allocation events.
Displaying 11 - 20 of 37 results
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06/23/2021
FAQ
U17.
Are changes to CAT reportable attributes of an allocation after the original booking of shares/contracts that occur post-settlement required to be reported to CAT as an Amended Allocation/Option Amended Allocation (MEAA/MOAA) event?
Topics
U. Allocations
06/21/2021
FAQ
U21.
Is the side value ‘SX’ (Short Sale Exempt) required to be reported on a Post-Trade Allocation (MEPA) event?
Topics
U. Allocations
06/21/2021
FAQ
U18.
Are Industry Members required to report Amended Allocation/Option Amended Allocation events (MEAA/MOAA) for allocations which occurred before the date an Industry Member is required to report allocation events to CAT?
Topics
U. Allocations
06/02/2021
FAQ
U28.
If an Industry Member aggregates shares from separate orders when booking equity shares back to the same customer account, how should the side field be populated in the Post Trade Allocation event (MEPA) if the underlying transactions included both short and long sales?
Topics
U. Allocations
05/04/2021
FAQ
U25.
Does an Industry Member have to report to the CAT allocations processed prior to the date an Industry Member is required to begin reporting allocation data to the CAT?
Topics
U. Allocations
04/27/2021
FAQ
U27.
How should Industry Members populate the settlementDate field for allocations in “when-issued” securities?
Topics
U. Allocations
04/06/2021
FAQ
U19.
How should the DVPCustodianID field in the Post-Trade Allocation event (MEPA) be populated when an allocation involves a foreign entity for which a DTC number is known?
Topics
U. Allocations
04/06/2021
FAQ
U24.
Is an Industry Member that is a clearing broker required to report an allocation report before all required information about the allocation is known? Specifically, allocations to DVP accounts require the DVPCustodianID field to be populated. How would the clearing firm report an allocation report if the DVPCustodianID is not yet available?
Topics
U. Allocations
04/06/2021
FAQ
U26.
Are Industry Members that are a clearing firm required to report the booking of shares into a customer account that result from an options exercise or other non-CAT reportable transaction to CAT?
Topics
U. Allocations
01/04/2021
FAQ
U23.
What does the term “booking” mean in relation to the reporting of CAT allocation events?
Topics
U. Allocations
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