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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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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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03/09/2021
Event
CAT Technical Specification Working Group Q&A - 3/9/21
- CAT Technical Specification Working Group Q&A - 3/9/21
- March 2021 Technical Specification Updates - 3/9/21
Audio file

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B. Reporting Requirements
03/09/2021
FAQ
B49. This FAQ has been retired and archived. Please refer to FAQ U26.

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B. Reporting Requirements
03/09/2021
FAQ
B49. 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 assignment to CAT?

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B. Reporting Requirements
03/05/2021
Technical Specifications
Industry Member Reporting Scenarios v4.1

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B. Reporting Requirements
03/05/2021
Technical Specifications
Industry Member Reporting Scenarios v3.10

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B. Reporting Requirements
03/05/2021
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r7

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B. Reporting Requirements
03/05/2021
Event
Requests for Quotes (RFQs) and Other Forms of Solicitation (March 4, 2021)
- Requests for Quotes (RFQs) and Other Forms of Solicitation (March 4, 2021)- Presentation
Audio file

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B. Reporting Requirements
03/05/2021
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r11

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B. Reporting Requirements
03/02/2021
Event
CAT CAIS Technical Specification Working Group Q&A - 3/2/21
- CAT CAIS Technical Specification Working Group Q&A - 3/2/21
Audio file

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B. Reporting Requirements

Q. Customer and Account Information
02/23/2021
FAQ
B72. Is my response to a Request for Quotes (“RFQ”) or other solicitation process required to be reported as a New Order event (“MENO”) or New Option Order event (“MONO”) in Phase 2a or Phase 2b if my response is selected as the winning bid?

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B. Reporting Requirements

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