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UPCOMING EVENT
Jan
16
Monthly CAT Update (January 16, 2025)
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Displaying 1201 - 1210 of 1455 results
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B. Reporting Requirements
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F. Representative Orders
G. Manual Orders
H. ATS
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J. OTC Equity Securities
K. Options
L. Equity Floor Brokers
M. Firm Designated ID
N. Third Party Reporting
O. Technical Requirements
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11/15/2018
FAQ
P1.
How can a CAT Reporter obtain information about its reporting metrics, including linkage statistics?
Topics
P. Feedback and Error Correction
11/15/2018
FAQ
P2.
What will happen if order information is submitted for a security that is not CAT reportable?
Topics
P. Feedback and Error Correction
11/15/2018
FAQ
P3.
If one record in a file is rejected, will the whole file be rejected?
Topics
P. Feedback and Error Correction
11/15/2018
FAQ
P7.
Can previously accepted records be deleted?
Topics
P. Feedback and Error Correction
11/15/2018
FAQ
P11.
Does CAT reject secondary events if the parent is not present? For example, if an Order Route is submitted and passes format validations, but the related New Order Event is not reported or rejected, will the Order Route automatically be rejected?
Topics
P. Feedback and Error Correction
11/15/2018
FAQ
P14.
If a cancellation of an order is received after it has been executed, and an Industry Member submits an Order Canceled Event to CAT, will it be rejected?
Topics
P. Feedback and Error Correction
11/15/2018
FAQ
P15.
What is the criteria for determining if a Reportable Event report is late and therefore, marked as such in a CAT Reporter’s reporting statistics?
Topics
P. Feedback and Error Correction
11/15/2018
FAQ
O6.
Are back-up circuits required for reporting to CAT via SFTP?
Topics
O. Technical Requirements
11/15/2018
FAQ
O8.
What are the Web addresses used to transfer CAT data?
Topics
O. Technical Requirements
11/15/2018
FAQ
O10.
Can files be sent to CAT using SFTP via the Internet?
Topics
O. Technical Requirements
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