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UPCOMING EVENT
Sep
19
Monthly CAT Update (September 19, 2024)
04:15PM EDT
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11/15/2018
FAQ
D12.
An Industry Member receives an order with instructions to execute the order as agent or riskless principal during regular market hours. The Industry Member accumulates shares during regular market hours but does not execute the customer order until after the close at an average price of the shares accumulated during regular market hours. What should be populated in the tradingSession field on the New Order or Order Accepted Event?
Topics
D. Order Receipt
11/15/2018
FAQ
D13.
An Industry Member receives an order with instructions to execute the order on a net basis. No specific instruction is given with respect to which trading session the order is eligible to be executed. The Industry Member accumulates shares during regular market hours but does not execute the customer order until after the close at a net price which is reported to the tape. What should be populated in the tradingSession field on the New Order or Order Accepted Event?
Topics
D. Order Receipt
11/15/2018
FAQ
D14.
An Industry Member receives an order with instructions to execute during regular market hours. However, when the regular trading session expires, the order is not complete and the customer instructs the Industry Member to finish the order. What should be populated in the tradingSession field on the New Order or Order Accepted Event in this instance?
Topics
D. Order Receipt
11/15/2018
FAQ
D16.
If a firm does not receive specific instructions from its customer as to which session an order may trade, and the firm does not otherwise communicate to the customer that the order will only be traded during specific market sessions, what should be populated in the tradingSession field?
Topics
D. Order Receipt
11/15/2018
FAQ
E7.
Executed orders that exceed 100 million shares must be reported to the ORF in two or more transaction reports because the OTC Trade Reporting Facility (ORF) will not accept trades that exceed 99,999,999 shares. Can a single CAT Trade Event be matched to more than one ORF trade report?
Topics
E. Order Routing and Execution
11/15/2018
FAQ
E11.
At 8:30:00:000 a.m., BD1 receives a market-on-open customer order and guarantees the opening price. At 9:30:00.000 a.m., the market opens, and, at 9:35:00.000 a.m., BD1 receives the opening price information and executes the trade. What execution time should be used in the CAT Trade Event and related trade report?
Topics
E. Order Routing and Execution
11/15/2018
FAQ
E19.
When a broker-dealer routes an order to an Industry Member, the routing broker-dealer may not include the special handling details associated with the original customer order as received by the routing broker-dealer. Are these original special handling details expected to be reported by subsequent Industry Members to which the order is routed?
Topics
E. Order Routing and Execution
11/15/2018
FAQ
F4.
BD A receives orders from four separate customers totaling 10,000 shares, all with instructions to handle as agent. BD A sends one larger order, properly marked as agency, to a Participant exchange or another market center in an attempt to obtain an execution for these four orders. BDA holds the individual customer orders and never gives up control of these orders to any other broker-dealer or market center. Upon receipt of an execution of the larger order, the shares are recorded in my firm's agency allocation account. Subsequently, BDA allocates the shares from the agency allocation account to the individual customer accounts based upon a predetermined allocation methodology. How should these orders and related executions be reported to CAT?
Topics
F. Representative Orders
11/07/2018
Event
Industry Updates on the Consolidated Audit Trail (11/7/2018)
CAT Industry Webcast 11/7/2018 - Presentation
Audio file
11/07/2018
Event
Industry Updates on the Consolidated Audit Trail (11/8/2018)
CAT Industry Webcast 11/8/2018 - Presentation
Audio file
Topics
K. Options
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