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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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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

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Order

09/17/2020
Event
Monthly CAT Implementation Update (9/17/20)
- Monthly CAT Implementation Update (9/17/20)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information

U. Allocations
09/15/2020
Event
Weekly Industry Testing Checkpoint Call (9/15/2020)
- Weekly Industry Testing Checkpoint Call (9/15/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
09/08/2020
Event
CAT Technical Specification Working Group Q&A - 9/8/20
- CAT Technical Specification Working Group Q&A 9/8/20- Presentation
Audio file

Topics

B. Reporting Requirements

I. Foreign Securities

P. Feedback and Error Correction
09/01/2020
Event
Weekly Industry Testing Checkpoint Call (9/1/2020)
- Weekly Industry Testing Checkpoint Call (9/1/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
08/25/2020
Event
Weekly Industry Testing Checkpoint Call (8/25/2020)
- Weekly Industry Testing Checkpoint Call (8/25/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
08/20/2020
Event
Industry Member Compliance Report Card
- Industry Member Compliance Report Card- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
08/19/2020
Event
Interfirm Linkage Overview (8/19/2020)
- Interfirm Linkage Overview (8/19/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
08/18/2020
Event
Weekly Industry Testing Checkpoint Call (8/18/2020)
- Weekly Industry Testing Checkpoint Call (8/18/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
08/12/2020
Event
Interfirm Linkage Overview (8/12/2020)
- Interfirm Linkage Overview (8/12/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
08/12/2020
FAQ
B64. If executions against an order are tracked throughout the day but a single average price fill is provided to the client after the order is completed or at the end of the day, are fulfillments required throughout the day with a fulfillment amendment requirement with each new execution?

Topics

B. Reporting Requirements

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