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UPCOMING EVENT
Jan
16
Monthly CAT Update (January 16, 2025)
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A. General
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K. Options
L. Equity Floor Brokers
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06/18/2019
FAQ
D25.
How should the accountHolderType field be populated in relation to NYSE Account Type Indicators?
Topics
D. Order Receipt
06/18/2019
FAQ
E24.
Can the TRF reported Branch/Sequence Number or FINRA Compliance Number contain a space?
Topics
E. Order Routing and Execution
06/18/2019
FAQ
D5.
BD A, an Industry Member CAT Reporter receives 10 separate and distinct customer orders that together total 10,000 shares. A registered representative of BD A sends a single 10,000 share order to the trading desk. What are the CAT reporting obligations for BD A?
Topics
D. Order Receipt
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?
Topics
E. Order Routing and Execution
06/18/2019
Announcement
Annual Clock Synchronization Certification
Topics
R. Clock Synchronization
06/12/2019
Event
In-person Consolidated Audit Trail Options Deep Dive June 4, 2019 in New York
Options Deep Dive 6/4/19 New York
Audio file
Topics
K. Options
06/12/2019
Event
In-person Consolidated Audit Trail Options Deep Dive June 11, 2019 in San Francisco
Options Deep Dive San Francisco 6/11/2019
Audio file
Topics
K. Options
05/23/2019
Technical Specifications
Industry Member Schema v2.1 (2a/2b)
05/23/2019
Technical Specifications
OATS To CAT Events Field Level Mapping v2
05/16/2019
Event
Consolidated Audit Trail Options Deep Dive - Chicago (5/15/2019)
Options Deep Dive 5/15/2019
Audio file
Topics
K. Options
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