Skip to main content
Content type
CAT Alert
Announcement
Event
FAQ
other
Reference Material
Timeline Activity
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
All Topics
Year
- Any -
2024
2023
2022
2021
2020
2019
2018
2017
2016
2015
2014
2013
2012
Technical Specifications
Industry Member Specifications
Industry Member Reporting Scenarios
Participant Specifications
Gap Analysis
Reference Data
Communication
Events
Announcements
CAT Alerts
Plan Participant Contact List
Guidance
FAQs
Registration & Onboarding
Topics
Clock Synchronization
Event Materials
Forms
CAT Alerts
Transaction Compliance Glossary
CAIS Compliance Glossary
Video Tutorials
Timeline
About
CAT NMS Plan
Exemptive Request Letters
Implementation Plan
One-time Written Assessments
Audited Financial Statements
Plan Participants
CAT Financial and Operating Budget
CAT Fees
Billing Trade Details Technical Specifications
CAT Billing Scenarios
Billing Trade Summaries
CAT Fee Alerts
CAT Billing Alerts
CAT Billing FAQs
Funding Model Approval Order
CAT Billing Webinars
Reporter Portal
Access Information
Content type
CAT Alert
Announcement
Event
FAQ
other
Reference Material
Timeline Activity
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
All Topics
Year
- Any -
2024
2023
2022
2021
2020
2019
2018
2017
2016
2015
2014
2013
2012
Topics
Home
Filters
Show Results
Subscribe
All Topics
Below is a summary of all available content.
UPCOMING EVENT
Sep
19
Monthly CAT Update (September 19, 2024)
04:15PM EDT
Add To My Calendar
Displaying 1041 - 1050 of 1419 results
Filter by Content Type
CAT Alert
Announcement
Event
FAQ
Reference Material
Timeline Activity
Filter by Topic
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
Sort by
Core Official Date
Order
Sort by Oldest First
Sort by Newest First
10/29/2019
Event
Industry Webinar - CAT Reporter Portal Overview and Key Dates (10/28/2019)
CAT Reporter Portal Overview Industry Webinar - Presentation
Audio file
Topics
P. Feedback and Error Correction
10/24/2019
FAQ
R6.
Must broker-dealers maintain a log of the times clocks are synchronized?
Topics
R. Clock Synchronization
10/24/2019
FAQ
R2.
If I am an agency broker-dealer and I send my orders through a third-party service provider’s system (e.g., Bloomberg), what clock synchronization compliance obligations do I have with regard to the third-party service provider’s clocks and my own clocks? Do I need to do anything with regard to the internal systems (e.g., internal PCs or servers) or clocks within my own firm to satisfy the clock synchronization requirements?
Topics
R. Clock Synchronization
10/16/2019
Governance
Notice of Filing of Exemptive Request Letter related to Customer and Account Information
Topics
A. General
Q. Customer and Account Information
10/14/2019
FAQ
C6.
What is the definition of a “cabinet” order for purposes of the “orderType” field for Exchange-listed options in the CAT Reporting Technical Specifications for Industry Members?
Topics
C. Definitions
10/10/2019
Event
CAT Technical Specification Working Group Q&A - 10/10/2019
CAT Technical Specification Working Group Q&A - 10/10/2019 - Presentation
Audio file
Topics
B. Reporting Requirements
P. Feedback and Error Correction
T. Production Readiness Testing
10/08/2019
Technical Specifications
Industry Member Reporting Scenarios v2.4
09/26/2019
Event
Industry Webinar - CAT Connectivity Update (September 26, 2019)
CAT Connectivity Update (September 26, 2019) - Presentation
Audio file
Topics
A. General
T. Production Readiness Testing
09/26/2019
Event
CAT Technical Specification Working Group Q&A - 9/26/2019
CAT Technical Specifications Q&A 9/26/2019 - Presentation
Audio file
Topics
B. Reporting Requirements
P. Feedback and Error Correction
T. Production Readiness Testing
09/26/2019
Governance
Proposed FDID Amendment (9/26/2019)
Topics
A. General
M. Firm Designated ID
Pagination
«
« First
‹
‹ Previous
…
101
102
103
104
105
106
107
108
109
…
›
Next ›
»
Last »