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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 181 - 190 of 345 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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11/17/2020
FAQ
B12. Are Industry Members required to report the equity leg of a complex order in Phase 2a of the revised implementation schedule?

Topics

B. Reporting Requirements
11/17/2020
Event
Phase 2c Cutover and November 2020 Technical Specifications Overview (11/17/2020)
- Phase 2c Cutover and November 2020 Technical Specifications Overview (11/17/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

O. Technical Requirements

P. Feedback and Error Correction
11/10/2020
Event
Weekly Industry Testing Checkpoint Call (11/10/2020)
- Weekly Industry Testing Checkpoint Call (11/10/2020)-Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
11/04/2020
Event
Weekly Industry Testing Checkpoint Call (11/03/2020)
- Weekly Industry Testing Checkpoint Call (11/03/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
10/27/2020
Event
Weekly Industry Testing Checkpoint Call (10/27/2020)
- Weekly Industry Testing Checkpoint Call (10/27/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
10/22/2020
Event
Outbound Router Industry Webinar (10/21/20)
- Outbound Router Industry Webinar (10/21/20)- Presentation
Audio file

Topics

B. Reporting Requirements
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
10/20/2020
Event
Weekly Industry Testing Checkpoint Call (10/20/2020)
- Weekly Industry Testing Checkpoint Call (10/20/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
10/15/2020
Event
Monthly CAT Implementation Update (10/15/20)
- Monthly CAT Implementation Update (10/15/20)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
10/13/2020
FAQ
B65. This FAQ was moved. See FAQ E31.

Topics

B. Reporting Requirements

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