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E. Order Routing and Execution

This topic includes information and reporting requirements related to order routing and execution.

Displaying 21 - 30 of 37 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

08/13/2019
FAQ
E26. Does Section 6.3(d)(ii) of the CAT NMS Plan, which sets forth the reporting requirements with regard to the “routing of an order,” apply to both internal and external routes?

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E. Order Routing and Execution
06/18/2019
FAQ
E24. Can the TRF reported Branch/Sequence Number or FINRA Compliance Number contain a space?

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E. Order Routing and Execution
06/18/2019
FAQ
E14. Firm A routes an order to Firm B with instructions to send the order to another member or exchange for execution with specific terms and conditions that the executing venue must follow. Must Firm B report the terms and conditions intended for the executing venue as handling instructions on Firm B’s CAT Order Accepted Event in the handlingInstructions field?

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E. Order Routing and Execution
11/15/2018
FAQ
E7. Executed orders that exceed 100 million shares must be reported to the ORF in two or more transaction reports because the OTC Trade Reporting Facility (ORF) will not accept trades that exceed 99,999,999 shares. Can a single CAT Trade Event be matched to more than one ORF trade report?

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E. Order Routing and Execution
11/15/2018
FAQ
E18. Should baskets submitted to NYSE’s Crossing Session II be reported to CAT as an Order Route event or a Trade Event?

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E. Order Routing and Execution
11/15/2018
FAQ
E17. When a firm has multiple functions performed on the same desk or within the same department, how does the firm determine which receivingDeskType to use in the CAT Internal Route Event for orders received by such multi-function desks?

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E. Order Routing and Execution
11/15/2018
FAQ
E19. When a broker-dealer routes an order to an Industry Member, the routing broker-dealer may not include the special handling details associated with the original customer order as received by the routing broker-dealer. Are these original special handling details expected to be reported by subsequent Industry Members to which the order is routed?

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E. Order Routing and Execution
11/15/2018
FAQ
E23. Is the TRF reported Branch/Sequence Number or FINRA Compliance Number required to be unique within an IMID (e.g. MPID) within a day?

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E. Order Routing and Execution
11/15/2018
FAQ
E16. A firm performs multiple functions on the same desk or within the same department, such as program trading and non-program trading. Is an Internal Route Event required for orders sent between traders that perform those separate functions?

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E. Order Routing and Execution
11/15/2018
FAQ
E22. If a trade is reported on an “as of “basis to the TRF, what are the CAT reporting requirements?

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E. Order Routing and Execution

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