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A. General

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 251 - 260 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

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Order

04/21/2020
CAT Alert
CAT Alert 2018-003 - IMID usage for CAT data submissions and in order routing events

Topics

B. Reporting Requirements

E. Order Routing and Execution
04/15/2020
Event
Weekly Industry Testing Checkpoint Call (4/14/2020)
- Weekly Industry Testing Checkpoint Call (4/14/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
04/14/2020
FAQ
B2. What are the timestamp requirements for reporting information to the CAT?

Topics

B. Reporting Requirements
04/14/2020
FAQ
B8. How should an Industry Member report timestamps to the CAT if its order handling and order execution systems use different timestamp increments?

Topics

B. Reporting Requirements
04/09/2020
Event
CAT Technical Specification Working Group Q&A - 4/9/20
- CAT Technical Specification Working Group Q&A 4/9/20- Presentation
Audio file

Topics

B. Reporting Requirements

T. Production Readiness Testing
04/08/2020
Governance
SEC Approval Order of Exemptive Request Letter related to CAT Timestamp Granularity

Topics

B. Reporting Requirements
04/08/2020
Event
Weekly Industry Testing Checkpoint Call (4/7/2020)
- Weekly Industry Testing Checkpoint Call (4/7/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
04/08/2020
FAQ
B48. If an Industry Member manually initiates a proprietary equities order and simultaneously enters the order into an OMS/EMS, is this considered a manual event or an electronic event?

Topics

B. Reporting Requirements
04/07/2020
CAT Alert
CAT Alert 2018-004 – Order Routing Field Correlations Between CAT and Exchanges

Topics

B. Reporting Requirements

E. Order Routing and Execution
04/01/2020
Event
Weekly Industry Checkpoint Call (3/31/2020)
- Weekly Industry Checkpoint Call (3/31/2020)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction

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