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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 211 - 220 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

07/29/2020
Event
Weekly Industry Testing Checkpoint Call (7/28/2020)
- Weekly Industry Testing Checkpoint Call (7/28/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
07/23/2020
Event
Interfirm Linkage Overview (7/22/2020)
- Interfirm Linkage Overview (7/22/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
07/21/2020
Event
Weekly Industry Testing Checkpoint Call (7/21/2020)
- Weekly Industry Testing Checkpoint Call (7/21/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
07/17/2020
FAQ
B46. The newOrderFDID field in the Post-Trade Allocation Event (MEPA) and Amended Allocation Event (MEAA) is described as “The FDID of the related New Order event, if available in the booking system.” What does “if available in the booking system” mean?

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B. Reporting Requirements
07/17/2020
FAQ
B46. This FAQ has been retired and archived. Please refer to FAQ U1.

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B. Reporting Requirements
07/14/2020
Event
CAT Technical Specification Working Group Q&A - 7/14/20
- 2d Requirement for Unique orderID
- TRF Corrections and Rejections
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
07/14/2020
Event
Weekly Industry Testing Checkpoint Call (7/14/2020)
- Weekly Industry Testing Checkpoint Call (7/14/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
07/08/2020
Event
Weekly Industry Testing Checkpoint Call (7/7/2020)
- Weekly Industry Testing Checkpoint Call (7/7/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
07/01/2020
FAQ
B61. What are the CAT reporting requirements for Stop Stock orders?

Topics

B. Reporting Requirements
07/01/2020
Event
Weekly Industry Testing Checkpoint Call (6/30/2020)
- Weekly Industry Testing Checkpoint Call (6/30/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

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