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G. Manual Orders

This topic includes information and reporting requirements for order events that are handled manually.

Displaying 1 - 4 of 4 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

W. Fee Dispute Resolution

Sort by

Order

01/17/2019
FAQ
G4. If a broker receives a telephone call from a customer who places an order for 100 shares of ABC while on the phone, and the broker simultaneously enters the order into his/her firm’s order handling and execution system as the broker receives the order from the customer over the phone, does the firm need to report to the CAT both a manual receipt time and an Electronic Capture Time?

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G. Manual Orders
11/15/2018
FAQ
G3. What does the manualFlag field represent?

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G. Manual Orders
11/15/2018
FAQ
G2. Are orders received via the telephone and then manually entered into a clearing firm's system considered electronic?

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G. Manual Orders
02/13/2018
FAQ
G1. Is a CAT Reporter required to report two separate timestamps for Manual Order Events?

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G. Manual Orders

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