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C. Definitions
This section defines certain commonly used CAT terms.
Displaying 1 - 8 of 8 results
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A. General
B. Reporting Requirements
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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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08/09/2022
FAQ
C5.
When should the value ‘O’ (Market Making) be used for accountHolderType?
Topics
C. Definitions
05/18/2021
FAQ
C8.
The IM Technical Specifications state that “Industry Members are required to report responses to RFQs and other forms of solicitation that are firm expressions of interest to trade”. How are “other forms of solicitation” defined for CAT reporting purposes?
Topics
C. Definitions
10/14/2019
FAQ
C6.
What is the definition of a “cabinet” order for purposes of the “orderType” field for Exchange-listed options in the CAT Reporting Technical Specifications for Industry Members?
Topics
C. Definitions
09/11/2019
FAQ
C2.
What is the definition of "foreign broker-dealer" for purposes of populating the destination type field for Industry Member reporting?
Topics
C. Definitions
07/17/2019
FAQ
C7.
Are orders received or routed via instant message (IM) or email considered “manual” or “electronic” for purposes of reporting to the CAT?
Topics
C. Definitions
06/18/2019
FAQ
C4.
The affiliateFlag requires the designation of an affiliate. How should CAT Reporters determine who is an "affiliate" for these purposes?
Topics
C. Definitions
11/15/2018
FAQ
C3.
What is the definition of institution for purposes of the Account Type Code value of "A" Institution?
Topics
C. Definitions
10/30/2018
FAQ
C1.
How has the Operating Committee defined “Trading Day”?
Topics
C. Definitions