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A. General

B. Reporting Requirements

C. Definitions

D. Order Receipt

E. Order Routing and Execution

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D. Order Receipt

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

Displaying 31 - 40 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

Sort by

Order

06/18/2019
FAQ
D25. How should the accountHolderType field be populated in relation to NYSE Account Type Indicators?

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D. Order Receipt
06/18/2019
FAQ
D8. Should accountHolderType "E" be used if a registered representative has discretion over a customer account?

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D. Order Receipt
11/15/2018
FAQ
D17. How should the tradingSession field be populated for orders that are received with instructions that they are only to be executed on a foreign market?

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D. Order Receipt
11/15/2018
FAQ
D14. An Industry Member receives an order with instructions to execute during regular market hours. However, when the regular trading session expires, the order is not complete and the customer instructs the Industry Member to finish the order. What should be populated in the tradingSession field on the New Order or Order Accepted Event in this instance?

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D. Order Receipt
11/15/2018
FAQ
D22. What is the purpose of the infoBarrierID field and how should it be used?

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D. Order Receipt
11/15/2018
FAQ
D11. What is the purpose of the tradingSession field?

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D. Order Receipt
11/15/2018
FAQ
D13. An Industry Member receives an order with instructions to execute the order on a net basis. No specific instruction is given with respect to which trading session the order is eligible to be executed. The Industry Member accumulates shares during regular market hours but does not execute the customer order until after the close at a net price which is reported to the tape. What should be populated in the tradingSession field on the New Order or Order Accepted Event?

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D. Order Receipt
11/15/2018
FAQ
D12. An Industry Member receives an order with instructions to execute the order as agent or riskless principal during regular market hours. The Industry Member accumulates shares during regular market hours but does not execute the customer order until after the close at an average price of the shares accumulated during regular market hours. What should be populated in the tradingSession field on the New Order or Order Accepted Event?

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D. Order Receipt
11/15/2018
FAQ
D9. For orders received electronically from another CAT Reporter, must the the Routed Order ID reported to CAT by the receiving CAT Reporter be in the exact format as which it was received from the sending CAT Reporter?

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D. Order Receipt
11/15/2018
FAQ
D19. How should the timeInForce field be populated for "Fill or Kill" orders that contain a limit price?

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D. Order Receipt

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