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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 231 - 240 of 346 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

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?

Topics

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
06/02/2020
Event
CAT Technical Specification Working Group Q&A - 6/2/20
Audio file

Topics

B. Reporting Requirements
05/27/2020
Event
Weekly Industry Testing Checkpoint Call (5/26/2020)
- Weekly Industry Testing Checkpoint Call (5/26/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
05/21/2020
Event
Intrafirm Linkage Overview (5/20/2020)
- Intrafirm Linkage Overview (5/20/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
05/21/2020
Event
CAT Technical Specification Working Group Q&A - 5/21/20
- Order Effective Time Overview
- CAT Technical Specification Working Group Q&A 5/21/20- Presentation
Audio file

Topics

B. Reporting Requirements
05/19/2020
FAQ
B28. Are event times required to be reported in Eastern Time?

Topics

B. Reporting Requirements
05/19/2020
FAQ
B9. Are all messages, as represented in order routing protocols such as FIX, required to be reported to CAT by Industry Members?

Topics

B. Reporting Requirements
05/19/2020
Event
Weekly Industry Testing Checkpoint Call (5/19/2020)
- Weekly Industry Testing Checkpoint Call (5/19/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

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