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F. Representative Orders
This section includes information and reporting requirements related to representative orders.
Displaying 1 - 8 of 8 results
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All Topics
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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02/15/2024
FAQ
F6.
Are there any exceptions to the requirement to link Representative Orders with the underlying order(s)?
Topics
F. Representative Orders
02/15/2024
FAQ
F5.
Are Industry Members required to link a Representative Order with the underlying order(s) for the Representative Order?
Topics
F. Representative Orders
02/15/2024
FAQ
F7.
What is the difference between order level linkage and fulfillment level linkage on a representative order?
Topics
F. Representative Orders
12/14/2021
FAQ
F1.
What is a representative order?
Topics
F. Representative Orders
09/21/2021
FAQ
F2.
When an order is executed on a riskless principal basis and reported to a TRF using the alternative method of trade reporting, is the non-media riskless principal TRF report required to be linked to the related CAT Order Fulfillment Event?
Topics
F. Representative Orders
10/06/2020
FAQ
F3.
How does a CAT Reporter determine the manner in which an agency order filled on an average price basis should be reported? More specifically, when should an Order Fulfillment (as reflected in Scenario 2.3.4 Fill of a Single Customer Order on an Average Price Basis in the CAT Industry Member Reporting Scenarios document) be used instead of Route Reports?
Topics
F. Representative Orders
08/14/2019
Event
Industry Webinar - Equity Representative Orders Deep Dive (August 13, 2019)
Equity Representative Orders Deep Dive - 8/13/2019
Audio file
Topics
B. Reporting Requirements
F. Representative Orders
11/15/2018
FAQ
F4.
BD A receives orders from four separate customers totaling 10,000 shares, all with instructions to handle as agent. BD A sends one larger order, properly marked as agency, to a Participant exchange or another market center in an attempt to obtain an execution for these four orders. BDA holds the individual customer orders and never gives up control of these orders to any other broker-dealer or market center. Upon receipt of an execution of the larger order, the shares are recorded in my firm's agency allocation account. Subsequently, BDA allocates the shares from the agency allocation account to the individual customer accounts based upon a predetermined allocation methodology. How should these orders and related executions be reported to CAT?
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F. Representative Orders