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B. Reporting Requirements

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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 221 - 230 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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Order

07/01/2020
FAQ
B58. How should the orderType field be populated for orders that are not market orders, but are not received/originated or routed with a specific limit price?

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B. Reporting Requirements
06/30/2020
Event
CAT Technical Specification Working Group Q&A - 6/30/20
- CAT Technical Specification Working Group Q&A 6/30/20- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
06/23/2020
Event
Daily Industry Testing Checkpoint Call (6/23/2020)
- Daily Industry Testing Checkpoint Call (6/23/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
06/16/2020
Event
Daily Industry Testing Checkpoint Call (6/16/2020)
- Daily Industry Testing Checkpoint Call (6/16/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
06/10/2020
Event
Self Reporting Forms: Clock Synchronization Deviations and Erroneous Data (6/10/2020)
- Self Reporting Forms: Clock Synchronization Deviations and Erroneous Data (6/10/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

R. Clock Synchronization
06/09/2020
Event
Weekly Industry Testing Checkpoint Call (6/9/2020)
- Weekly Industry Testing Checkpoint Call (6/9/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
06/04/2020
FAQ
B14. A registered investment advisor (RIA) operates within a US registered broker-dealer BD1 (i.e., BD1 and RIA are part of the same legal entity). The RIA originates and routes orders for execution away from BD1. What are the RIA's CAT reporting obligations?

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B. Reporting Requirements
06/03/2020
Event
Weekly Industry Testing Checkpoint Call (6/2/2020)
- Weekly Industry Testing Checkpoint Call (6/2/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
06/02/2020
FAQ
B56. What steps should Industry Members take in the event of an organizational change such as a merger, acquisition, or succession?

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B. Reporting Requirements
06/02/2020
FAQ
B55. A registered investment advisor (RIA) operates within a US registered broker-dealer BD1 (i.e., BD1 and RIA are part of the same legal entity). The RIA has customers/clients with accounts that are custodied at BD2 and the RIA is an authorized trader on these accounts. When the RIA originates orders in the customer/client accounts at BD2, what are the CAT reporting obligations for BD1 and BD2?

Topics

B. Reporting Requirements

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