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D. Order Receipt

This topic includes information and reporting requirements related to the origination or receipt of an order.

Displaying 11 - 20 of 44 results

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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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Order

06/22/2021
Event
CAT Technical Specification Working Group ( June 22, 2021)
- Technical Specifications Updates Presentation - 6/22/21
Audio file

Topics

B. Reporting Requirements

D. Order Receipt
06/17/2021
FAQ
D35. When must Industry Members use the Smart Router (‘SMT’) handlingInstructions value?

Topics

D. Order Receipt
06/08/2021
Event
CAT Technical Specification Working Group Q&A - June 8, 2021
- CAT Technical Specification Working Group Q&A- 6/08/21
- CAT Technical Specification Working Group Presentation- 6/08/21
Audio file

Topics

B. Reporting Requirements

D. Order Receipt
01/26/2021
FAQ
D26. What is the difference between ‘CND’ and ‘CMC’ handlingInstructions?

Topics

D. Order Receipt
12/15/2020
FAQ
D36. Should the handingInstructions value of ‘CSC’ (Contingent on a Spread Condition) be reported to CAT if an order is being worked by an algorithm that may utilize strategies that work the order in a way similar to a spread condition?

Topics

D. Order Receipt
11/04/2020
FAQ
D24. What value should be populated in the deptType field for orders in which a broker-dealer is providing direct market access to customers that are not broker-dealers?

Topics

D. Order Receipt
10/26/2020
FAQ
D34. FAQ D30 states that material terms of an order that are communicated via default or implicit handling instructions, such as instructions that are defaulted at a port or connection level, are required to be reported to CAT. How must such instructions, including standing instructions, firm-wide defaults, or port- or connection-level defaults, be reported?

Topics

D. Order Receipt
10/26/2020
FAQ
D30. Are the material terms of an order that are communicated via default or implicit handling instructions, such as instructions that are defaulted at a port or connection level, required to be reported to CAT?

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D. Order Receipt
07/01/2020
FAQ
D28. This FAQ has been retired. Please refer to FAQ B58.

Topics

D. Order Receipt
06/02/2020
FAQ
D32. How is tradingSession “ALL” defined?

Topics

D. Order Receipt

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