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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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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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03/13/2018
FAQ
B6. Are CAT Reporters required to report to the CAT quotes received via subscriptions to receive market data from market data vendors (such as exchanges or market data aggregators)?

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B. Reporting Requirements
02/13/2018
FAQ
B4. Are CAT Reporters required to record and report information related to any securities other than NMS Securities and OTC Equity Securities to the CAT?

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B. Reporting Requirements
Event
Industry Testing Checkpoint Call (March 16, 2021)
- Industry Testing Checkpoint Call (3/16/2021)- Presentation
Audio file

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B. Reporting Requirements

P. Feedback and Error Correction
Event
Monthly CAT Update (May 15, 2025)

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A. General

B. Reporting Requirements

Q. Customer and Account Information

V. CAT Billing
Timeline Activity
Technical Specifications Published for Options Phase 2d

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B. Reporting Requirements
Event
Industry Testing Checkpoint Call (3/2/2021)
- Industry Testing Checkpoint Call (3/2/2021)- Presentation
Audio file

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B. Reporting Requirements

P. Feedback and Error Correction
CAT Alert
CAT Alert 2018-002 – Industry Member Technical Specification 1.0

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B. Reporting Requirements

O. Technical Requirements
Event
Daily Industry Testing Checkpoint Call (6/22/2020)

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B. Reporting Requirements

P. Feedback and Error Correction
Event
Monthly CAT Update (April 17, 2025)

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A. General

B. Reporting Requirements

Q. Customer and Account Information

V. CAT Billing
Event
Industry Testing Checkpoint Call (2/16/2021)
- Industry Testing Checkpoint Call (2/16/2021)- Presentation
Audio file

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B. Reporting Requirements

P. Feedback and Error Correction

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