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UPCOMING EVENT
Jan
16
Monthly CAT Update (January 16, 2025)
04:15PM EST
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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
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11/15/2018
FAQ
B29.
How should an order be identified when the broker (as opposed to the trader) has price and time discretion?
Topics
B. Reporting Requirements
11/15/2018
FAQ
B31.
Are order adjustments resulting from corporate actions such as dividends and distributions required to be reported to CAT?
Topics
B. Reporting Requirements
11/15/2018
FAQ
B32.
How should the share quantity for an order event that involves a fractional number of shares be reported? For example, an order for 100-1/2 shares is received and worked by routing away 100 shares and executing the remaining 1/2 share as principal.
Topics
B. Reporting Requirements
11/15/2018
FAQ
B33.
How should a fractional number of shares as leavesQty be reported?
Topics
B. Reporting Requirements
11/15/2018
FAQ
B34.
An order is received after the market close and then cancelled prior to market open the next day. What is required to be reported to CAT?
Topics
B. Reporting Requirements
11/15/2018
FAQ
B35.
Are proprietary orders in OTC equity securities originated in the normal course of market making activity required to be reported to CAT?
Topics
B. Reporting Requirements
11/15/2018
FAQ
B36.
How should prices (including fractions) be recorded in CAT?
Topics
B. Reporting Requirements
11/15/2018
FAQ
C3.
What is the definition of institution for purposes of the Account Type Code value of "A" Institution?
Topics
C. Definitions
11/15/2018
FAQ
S3.
How will CAT ensure the security of the data?
Topics
S. Security
11/15/2018
FAQ
R3.
Does the CAT NMS Plan allow Industry Members to continue to write the time on order tickets or are Industry Members required to purchase mechanical time clocks?
Topics
R. Clock Synchronization
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