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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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F. Representative Orders
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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
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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 and archived. Please refer to FAQ E2.
Topics
E. Order Routing and Execution
08/27/2020
FAQ
E5.
How should orders routed to another market participant but not accepted by that market participant be reported to CAT?
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
07/01/2020
FAQ
E8.
How should the orderType on the Order Route Event be populated for orders routed as Stop or Stop Limit orders?
Topics
E. Order Routing and Execution
07/01/2020
FAQ
E9.
This FAQ has been retired and archived. Please refer to FAQ B58.
Topics
E. Order Routing and Execution
07/01/2020
FAQ
E3.
BD A, an Industry Member CAT Reporter, receives a customer order for 10,000 shares and subsequently routes 2,000 shares of the order to Exchange A, another CAT Reporter. BD A’s trader or trading system subsequently modifies the price of the 2,000 share order routed to Exchange A. Is BD A required to report the modification of the 2,000 share order routed to Exchange A?
Topics
E. Order Routing and Execution
07/01/2020
FAQ
E8.
This FAQ has been retired and archived. Please refer to FAQ B57.
Topics
E. Order Routing and Execution
07/01/2020
FAQ
E9.
How should the orderType field be populated for orders that are not market orders, but are not received/originated or routed with a specific limit price?
Topics
E. Order Routing and Execution
04/21/2020
CAT Alert
CAT Alert 2018-003 - IMID usage for CAT data submissions and in order routing events
Topics
B. Reporting Requirements
E. Order Routing and Execution
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