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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

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11/30/2021
FAQ
B42. Are Industry Members required to report the receipt of a cancellation or modification instruction to the CAT if the order is terminal (i.e., it has already been fully executed or cancelled)?

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B. Reporting Requirements
11/24/2021
Technical Specifications
Transition Support: Schema Changes to Existing Phase 2c Events v1.3

Topics

B. Reporting Requirements
11/23/2021
Event
Industry Testing Checkpoint Call (November 23, 2021)
- Industry Testing Checkpoint Call (November 23, 2021) - Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
11/19/2021
Event
Monthly CAT Implementation Update (November 18, 2021)
- Monthly CAT Implementation Update (November 18, 2021)- Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
11/17/2021
Event
Industry Testing Checkpoint Call (November 16, 2021)
- Industry Testing Checkpoint Call (November 16, 2021) - Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
11/12/2021
FAQ
B54. This FAQ was retired concurrent with OATS retirement. Please see FAQ B2 for more information on the timestamp requirements for CAT.

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B. Reporting Requirements
11/10/2021
Event
Industry Testing Checkpoint Call (November 9, 2021)
- Industry Testing Checkpoint Call (November 9, 2021)- Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
11/03/2021
Technical Specifications
Industry Member Reporting Scenarios v4.7

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B. Reporting Requirements
10/27/2021
Event
Industry Testing Checkpoint Call (October 26, 2021)
- Industry Testing Checkpoint Call (October 26, 2021) - Presentation
Audio file

Topics

B. Reporting Requirements

P. Feedback and Error Correction
10/21/2021
Event
Monthly CAT Implementation Update (October 21, 2021)
- Monthly CAT Implementation Update (October 21, 2021) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information

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