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A. General

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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 141 - 150 of 346 results

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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

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

Topics

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
04/16/2021
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
04/14/2021
Event
Industry Testing Checkpoint Call (April 13, 2021)
- Industry Testing Checkpoint Call (4/13/2021)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
04/06/2021
Event
CAT Technical Specification Working Group Q&A - 4/6/21
- CAT Technical Specification Working Group Q&A - 4/6/21
- April 2021 Technical Specification Update and Time Frames - 4/6/21
Audio file

Topics

B. Reporting Requirements
04/05/2021
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r8

Topics

B. Reporting Requirements
04/05/2021
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r12

Topics

B. Reporting Requirements
04/05/2021
Technical Specifications
CAT Reporting Technical Specifications for Plan Participants v4.0.0 r2

Topics

B. Reporting Requirements
03/31/2021
Event
Industry Testing Checkpoint Call (March 30, 2021)
- Industry Testing Checkpoint Call (March 30, 2021)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
03/24/2021
Event
Phase 2d OTC Link ATS Scenarios Deep Dive (March 24, 2021)
- Phase 2d OTC Link ATS Scenarios Deep Dive (March 24, 2021) - Presentation
Audio file

Topics

B. Reporting Requirements

J. OTC Equity Securities

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