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E. Order Routing and Execution
This topic includes information and reporting requirements related to order routing and execution.
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A. General
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G. Manual Orders
H. ATS
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K. Options
L. Equity Floor Brokers
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12/14/2021
FAQ
E10.
Can an order be marked as Short Exempt on the Order Route event if the order was reported as a regular short sale on the related New Order event?
Topics
E. Order Routing and Execution
10/14/2021
Technical Specifications
Order Routing Field Mapping between CAT and Exchanges v2.4
Topics
B. Reporting Requirements
E. Order Routing and Execution
09/21/2021
FAQ
E1.
When an order is routed internally at an Industry Member, Section 6.3(d)(ii)(F) of the CAT NMS Plan ("routing of an order"), as applied by Section 6.4 of the CAT NMS Plan, requires the reporting of the identity and nature of the department or desk to which the order is routed. What is considered "routed internally"?
Topics
E. Order Routing and Execution
08/31/2021
FAQ
E2.
Are Industry Members required to report to the CAT the routing of an order if the routed order is rejected by the Industry Member or Participant to which the order is routed?
Topics
E. Order Routing and Execution
02/23/2021
FAQ
E25.
When should the cancelFlag field be set to true on the Trade event (“MEOT”)?
Topics
E. Order Routing and Execution
01/12/2021
FAQ
E29.
Pursuant to the SEC’s Exemptive Order dated June 11, 2020, instead of requiring Industry Members to record and report to CAT a cancelled trade indicator for trades that are cancelled, FINRA Facility Data submitted to the Central Repository by FINRA would be the source of the cancelled trade indicator. How should Industry Members report trade cancellations and corrections to CAT?
Topics
E. Order Routing and Execution
10/06/2020
FAQ
E31.
If an Industry Member routes an order to another Industry Member or exchange and it is rejected because a data element was malformed and the message was unable to be read or parsed, is the Industry Member required to report the related order events to CAT given that they might reject (for example, for a malformed symbol or optionID that is not on the CAT Reportable Equity/Options Securities Symbol Master list)?
Topics
E. Order Routing and Execution
09/29/2020
Event
TRF Linkage Industry Webinar (9/29/20)
TRF Linkage Industry Webinar (9/29/20)- Presentation
Audio file
Topics
B. Reporting Requirements
E. Order Routing and Execution
P. Feedback and Error Correction
08/27/2020
FAQ
E5.
This FAQ has been retired. Please refer to FAQ E2.
Topics
E. Order Routing and Execution
07/28/2020
FAQ
E30.
Pursuant to the SEC’s Exemptive Order dated June 11, 2020, instead of requiring Industry Members to record and report to CAT a cancelled trade indicator for trades that are cancelled, FINRA Facility Data submitted to the Central Repository by FINRA would be the source of the cancelled trade indicator. Does this apply if the trade is reversed in the FINRA Facility on a subsequent day?
Topics
E. Order Routing and Execution
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