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A. General

B. Reporting Requirements

C. Definitions

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B. Reporting Requirements

This topic includes high level CAT reporting requirements including information related to the types of activity required to be reported.

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Displaying 131 - 140 of 345 results

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

05/11/2021
Event
Industry Testing Checkpoint Call (May 11, 2021)
- Industry Testing Checkpoint Call (5/11/2021)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
05/11/2021
Event
CAT Technical Specification Working Group Q&A - May 11, 2021
- CAT Technical Specification Working Group Q&A- 5/11/21
- May 2021 Technical Specification Updates Presentation- 5/11/21
Audio file

Topics

B. Reporting Requirements
05/10/2021
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r13 (Redlined)

Topics

B. Reporting Requirements
05/04/2021
FAQ
B71. What are the CAT reporting requirements for equity and option orders tied at a net price to equity, fixed income, futures, or another product that is not CAT reportable?

Topics

B. Reporting Requirements
05/04/2021
Event
CAT CAIS Technical Specification Working Group Q&A - 5/4/21
- CAT CAIS Technical Specification Working Group Q&A - 5/4/21
- Reporting and Repair Deadlines and Examples - 5/4/21
Audio file

Topics

B. Reporting Requirements

Q. Customer and Account Information
04/28/2021
Event
Industry Testing Checkpoint Call (April 27, 2021)
- Industry Testing Checkpoint Call (4/27/2021)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
04/20/2021
Technical Specifications
CAT Reporting Customer and Account Technical Specifications for Industry Members-LTID v1.2.2 (Redlined)

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B. Reporting Requirements
04/20/2021
Technical Specifications
CAT Reporting Customer and Account Technical Specifications for Industry Members-LTID v1.2.2 (Clean)

Topics

B. Reporting Requirements
04/20/2021
CAT Alert
CAT Alert 2021-01 - Phase 2c Cutover- Transitioning from Phase 2a/2b to Phase 2c Data Submissions

Topics

B. Reporting Requirements

P. Feedback and Error Correction

T. Production Readiness Testing
04/16/2021
Event
Monthly CAT Implementation Update and FINRA (SRO) Status Update on OATS Retirement (4/15/21)
- Monthly CAT Implementation Update (4/15/21)- Presentation
- OATS Retirement Status Update (4/15/21)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information

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